Anti-Money Laundering and Financial Crimes Compliance

The criticality of implementing robust Anti-Money Laundering and Financial Crimes Compliance programs has never been greater than it is now.  A growing terrorist threat and increased regulatory focus from jurisdictions around the world has Compliance Officers and corporate executives evaluating their AML programs and seeking new ways to prevent, detect, and report money laundering.  

Regulators are issuing record fines for violations.  Companies and their officers are also faced with the daunting specter of personal responsibility for effective AML and Financial Crimes Compliance programs.  

Our AML and Financial Crimes Compliance Services are designed to help our clients across all pillars of an effective AML program. We deliver results based on years of experience and deep expertise from former Chief Compliance Officers, industry compliance leaders, former bank examiners, and other AML experts who serve a broad range of clients from the Fortune 500 to the fast growing small enterprise.  Our clients include broker dealers, investment advisors, money services businesses, banks, and other financial institutions.  We set the standard for exceptional execution, ensuring predictable outcomes for our clients.  

Our AML and Financial Crimes Compliance services include:

Monitoring and 

Know Your Customer (KYC)

  • Suspicious Activity Reports (SAR)

  • Currency Transaction Reports (CTR)

  • Alert/Case Management

  • PEP Screening

  • Customer Due Diligence (CDD)

  • Enhanced Due Diligence (EDD)

  • Quality Assurance Reviews

  • Transaction and Customer Investigations

  • Consumer Fraud/Special High Risk Investigations

  • OFAC/Sanction Screening

  • Remediation and Lookback Management and Execution

Program and Control

Testing

  • Documentation of Controls

  • Control GAP Assessment/Control Remediation

  • Findings Tracking and Follow Up

  • Continuous Controls Monitoring

  • Audit Preparation and Support 

Documentation

and Training

Documentation

and Training

  • Assess Training Requirements/Define Training Plans

  • Develop Training Documentation

  • Training Execution

  • Compliance Workforce Sustainability Assessments

Performance Improvement

and Special Projects

Policies and Procedures &

Internal Controls 

  • Compliance Risk Assessment Execution

  • Product Level Risk Assessment Execution

  • Program and Standards Development

  • Policy Documentation and Refresh

  • Internal Control Assessment/Design/Implementation

  • Process Mapping/Data Lineage Mapping

  • Scoping and Implementation of Regulatory Change 

Performance Improvement

and Special Projects

  • Program and Project Management

  • Change Management

  • Process Optimization/Performance Management

  • Shared Service Migration

  • System Requirements Development