Engagement
Pre-inspection readiness review
A focused walkthrough of policies, sample files, and interview readiness before a scheduled supervisory visit.
Request a scoping call
Purpose
When a supervisory visit is already on the calendar, teams need a calm rehearsal — not a full multi-week audit. This engagement stress-tests the stories behind your files.
What we examine
- Consistency between the written AML risk assessment and the products you actually sell
- Ten to twenty CDD/EDD files chosen for product and risk mix
- Alert backlog age and quality of investigation notes
- Interview briefing notes for the compliance officer and first-line managers
Deliverable
A readiness brief with “ask-ready” talking points, a punch-list of fixes that can still be completed before the visit, and a short oral debrief with your leadership.
Timing
Usually five to ten business days, depending on how quickly samples can be made available.