We understand the risks and complexities that clients face. Our teams of compliance professionals are made up of former regulators, law enforcement and intelligence professionals, prosecutors and attorneys in private practice, Department of Justice officials and attorneys, compliance officers, technology experts, forensic accountants, and cybersecurity experts.
Our products and services within the regulatory and compliance arena include:
- AML and Sanctions Risk Assessment: We have broad experience with conducting enterprise-wide risk assessments; analyzing the customer base, transactions, products and services, and geographic areas; identifying and ranking inherent risks; and designing and implementing a methodology and controls for managing those risks.
- AML Independent Testing: Our professionals come in and evaluate your entire program, from transaction monitoring and policies and procedures, to tone at the top and technology, to staffing and staffing models. We make sure that your AML program meets regulatory standards, can withstand regulatory scrutiny, and has best practices established across the program.
- AML Model Validation: Every institution is required to validate the model they use to monitor their AML oversight. Banks often struggle with validating their AML model efficiently. We come in and validate the model being used and attest to its effectiveness, making certain that the rules are in alignment with the enterprise-wide risk.
- Compliance Governance and Training: We assist institutions with corporate compliance oversight, metrics and reporting, executive-level training, and regulatory reporting, helping them create a compliance structure that is sustainable and effective for years to come.
- Enhanced Due Diligence/Periodic Reviews/Account Remediation: Our professionals assist institutions in performing enhanced due diligence, reviewing your customer base, supplementing Know Your Customer (KYC) due diligence, and performing periodic reviews. Our teams have the means to draw information from everywhere in the world to protect your business.
- Historical Transaction Reviews: Our teams conduct historical transaction reviews in response to regulatory inquiries or enforcement actions such as requests for an historical lookback analysis to determine whether a Suspicious Activity Report (SAR) needs to be filed. We focus on the nitty-gritty and basics so you can concentrate on business.