Engagement
AML Control Sampling Review
Focused sampling of customer due diligence files, alert dispositions, and escalation notes to test whether your AML programme holds up under case-level scrutiny.
Who this is for
Compliance officers at remittance, wallet, and lending firms who need a second pair of eyes on how KYC and monitoring work in practice before an external inspection.
Result you receive
A sampling memo that shows pass/fail patterns by control point, with concrete file-level examples your team can remediate without guessing.
Scope
Limited to AML-related controls within an agreed sample size. We do not expand into full regulatory readiness unless you commission that engagement separately.
Included
- Agreed sample size and selection method
- File-level review against your stated procedures
- Pattern summary across onboarding, refresh, and alerts
- Short remittance list ordered by risk
Not included
- Full licensing readiness audit
- Transaction monitoring model design
- Staff training delivery
How the work unfolds
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1
Sample design
We agree stratification by customer type, risk rating, and product so findings are representative.
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2
Case review
Each selected file is tested against your written procedures and recorded outcomes.
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3
Pattern briefing
You receive the memo and a live walkthrough of the highest-priority gaps.
Constraints to know upfront
Sample quality drives the timeline; incomplete case notes delay conclusions.
Ready to discuss scope?
Share your licence type, product lines, and the review window you need. We reply with a written estimate — not a sales script.
Write to the practice