Client stories
Names of institutions are withheld by agreement. Details describe the work performed, constraints faced, and what changed afterward.
“The independent AML audit check sampled forty CDD files across our two busiest corridors. Findings on beneficial ownership depth were specific enough that relationship managers knew which documents to request without another workshop.”
“We asked for a pre-inspection readiness review with twelve days on the clock. They were frank that our alert backlog age would draw questions; we cleared the oldest cases and walked into the visit less defensive.”
“Transaction monitoring sample testing showed investigators closed too many ‘no unusual activity’ notes without checking counterparty geography. Retraining took a month; I wish we had commissioned the sample earlier in the year.”
“Communication was clear, though scheduling on-site days around our month-end close was awkward. Once fieldwork started, the team stayed within the agreed sample and did not invent extra hours.”
Longer accounts
Scope covered a twelve-month review period, agent oversight sampling, and SAR pathway walkthroughs. Material finding: agent training attendance lagged in three counties. Management closed the gap before filing renewal materials; the board received a one-page severity map rather than a sixty-page narrative.
After our AML audit check flagged stale enhanced due diligence on politically exposed person relationships, the client commissioned beneficial ownership remediation support. We re-tested a twenty-file sample six weeks later; sixteen met the revised evidence standard, and four returned for further collection with named owners.
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