Independent testing of customer due diligence, sanctions screening, and suspicious transaction escalation for licensed fintech operators.
Who it is for
Compliance teams at electronic payment institutions and remittance firms facing internal audit or supervisory follow-up.
Result
Rated control findings with sample worksheets your internal audit can reuse.
Included
- Risk-based sample of KYC and STR files
- Walkthrough of escalation paths
- Management letter with severity ratings
Outside scope
- Filing STRs on your behalf
- Staff secondment into the AML unit
How the work proceeds
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Risk scoping
Align sample sizes to product and geography risk.
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Testing
Execute tests and document exceptions.
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Close-out
Present ratings and agree owners for each finding.
Preparation
Export screening logs and case chronologies for the agreed period.
Constraints
Assessment covers the named period only; continuous monitoring is a separate retainer.
Fees
Day-rate or fixed fee by sample size. See the fees page for estimate factors, or ask for a written quote.