Audit process
From scoping call to signed memorandum
A transparent calendar so compliance officers know when document requests arrive, when fieldwork lands, and when findings are discussed — before anything is final.
Scoping & proposal
We confirm institution type, products, review period, and any known supervisory focus. You receive a sampling outline, fee basis, and draft document request list.
Kick-off & readiness
After the deposit, we hold a kick-off with your liaison. Incomplete packs are flagged early so sampling does not stall mid-fieldwork.
Fieldwork
CDD/EDD sampling, alert narrative review, and interviews with first-line and compliance staff. On-site days are scheduled around your close calendar where possible.
Findings workshop
Draft observations are walked through with management. Factual corrections are welcomed; severity debates are documented when we disagree.
Final memorandum
You receive the signed report, severity map, and a management letter suitable for the audit committee. One clarification call is included within fifteen business days.
What you prepare
- Current AML policy, enterprise risk assessment, and CDD/EDD procedures
- Alert playbooks and a extractable list of closed alerts for the period
- Board or AML committee minutes covering the review window
- A named liaison with authority to pull customer files securely
What we bring
- Sampling plan tied to your corridors and products
- Working-paper discipline and confidentiality controls
- Findings written for operators, not for shelf decoration
- Optional Traditional Chinese summary for committee packs
Questions teams ask before kick-off
Can you work entirely remotely?
Yes, when files can be shared through your approved secure channel. Some institutions still prefer on-site review for sensitive packs; we follow your policy.
Do you replace our internal audit function?
No. We provide independent anti-money-laundering audit checks for a defined period. Internal audit may still run its own programme alongside ours.
How compressed can the timeline be?
Pre-inspection readiness reviews fit tighter windows. A full AML audit check rushed under two weeks usually sacrifices sample depth — we will say so rather than pretend otherwise.