AML Compliance Support for Accountants and Financial Institutions
RISK ASSESSMENTS, REVIEWS AND TRAINING
Accountancy practices and financial businesses sit under a range of supervisors, including HMRC, ICAEW, ACCA and the FCA, with meaningfully different expectations. We provide AML consultancy, file review, documentation and training built around the regime you actually answer to.
HOW we HELP ACCOUNTANTS AND FINANCIAL INSTITUTIONS
WHERE FIRMS TYPICALLY STRUGGLE
Firms typically struggle with firm-wide risk assessments that are generic rather than built on the practice's real client base and services, CDD gaps on corporate clients (particularly beneficial ownership beyond the first layer), ongoing monitoring that exists as a policy but not as a practice, training that is delivered but not evidenced, and documentation that has not been reviewed since the practice changed shape.
Firm-wide risk assessments. Built on your client base, services, geographies and delivery channels: the version your supervisor expects, not a template with your name at the top.
Client file and CDD reviews. Sampling real files to show where evidence is missing, insufficient, or not recorded in a way that would survive an inspection.
Policy and procedure suites. Covering AML policy, CDD and EDD procedures, PEP and sanctions screening, record keeping and internal reporting.
Practical staff training. On identifying and escalating suspicious activity, with the documented record your supervisor will ask for.