Regulatory & Compliance Advisory

We provide a  complete, proportionate Anti-Money Laundering/Counter-Terrorist Financing (AML/CFT) framework that works in daily operations and stands up to regulatory inspection.

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Who it’s for

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Banks and non-banks, PSP/EMI/remittance, asset/wealth managers, brokers, FX/OTC, fintech/SaaS platforms handling payments or customer funds.

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Scope

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• Enterprise-Wide Risk Assessment (E-WRA)

  • methodology, risk taxonomy (customer, product, channel, geography), inherent/residual scoring, control effectiveness.

• Customer Due Diligence (CDD/EDD):

  • onboarding KYC, beneficial ownership, purpose/nature, trigger events, periodic refresh cycles by risk.

• Screening & Intelligence:

  • PEP and adverse-media programmes, sanctions screening (names, payments, merchants) with thresholds & fuzzy-match logic.

• Transaction Monitoring (TM):

  • risk-based scenarios (velocity, structuring, sanctions evasion typologies), thresholds, alert tuning, quality assurance.

• Case Management & Reporting:

  • investigation standards, escalation, Suspicious Activity/Transaction Reports (SAR/STR), law-enforcement liaison.

• Payment/Correspondent Risks:

  • Travel Rule readiness, nested relationships, merchant onboarding risk grading.

• Training & Culture:

  • role-based curricula, attestations, competency checks, ongoing refreshers.

• MI & Governance:

  • board dashboards, key risk indicators (KRIs), thematic insights, issues & Corrective and Preventive Actions (CAPA).

• Documentation & Evidence:

  • policies & procedures, working papers, evidence registers, retention.

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