Engagement
Independent AML audit check
A structured review of customer due diligence files, transaction sampling, and escalation records against your written AML policy and Taiwanese supervisory expectations.
Request a scoping call
Who this engagement is for
Compliance officers, internal audit leads, and finance directors who need an outside opinion on whether AML controls work as written — before a regulator visit, board report, or license renewal.
Result you receive
A signed audit memorandum covering:
- Sample-tested customer due diligence (CDD) and enhanced due diligence (EDD) files
- Transaction monitoring alerts reviewed for timely investigation and closure
- Escalation and suspicious-activity reporting pathways tested against policy
- Gaps ranked by severity, with practical remediation wording your team can act on
- A closing briefing for management (on-site in Miaoli / Taipei area or by secure video)
Scope included
- Kick-off scoping call (up to 90 minutes)
- Document request list and sampling plan tailored to your institution type
- On-site or remote file review across an agreed review period
- Written findings and severity grading
- One remediation clarification call within 15 business days of delivery
Excluded
- Continuous transaction monitoring software or system implementation
- Legal representation before regulators
- Full statutory financial statement audit
- Staff secondment longer than the agreed fieldwork window
How we work
- Scoping — confirm entity type, products, review period, and any known supervisory focus areas.
- Fieldwork — sample KYC packs, alert closures, and board/AML committee minutes.
- Findings workshop — walk through draft observations before the final memorandum.
- Delivery — final report plus a concise management letter for the audit committee.
Duration and location
Typical engagements run three to six weeks from scoping to final memorandum, depending on sample size and file readiness. Fieldwork can take place at your offices or at our Tunghsiao Town address when files can be securely reviewed there.
Preparation
Have your current AML policy, risk assessment, CDD procedures, alert playbooks, and a named liaison ready before kick-off. Incomplete files slow sampling; we flag readiness risks early rather than expand hours silently.
Pricing basis
Quoted as a fixed engagement fee after scoping. See Fees for indicative ranges. A 30% deposit confirms the fieldwork calendar.
Next step
Request a scoping call and tell us your institution type and the period under review.
Next step
Share your institution type, the period under review, and any regulator deadline. We will confirm whether an independent AML audit check fits, and outline timing and fee basis.
Start the conversation