AML/CFT Audit Process


Our team takes pride in delivering friendly, timely and expert-led services.

Our AML/CFT audit process is typically a combination of off-site reviews and on-site visits. We review your AML/CFT risk assessment and programme and then follow-up with a site visit to discuss and audit the implementation of your programme.

When we conduct on-site visits we aim to cause as little disruption as possible. Our audits are positive – we do not come in to tell you off, but to help and collaborate with you. These begin with a discussion with senior managers, the AML compliance officer or other related staff depending on your business structure. We then review the materials made available to us, such as training, vetting and CDD records.

Once the on-site visit is conducted, we draft the audit report off-site and send it to you for comments. When we are both satisfied with the report, it’s finalised and sent to you.

We are very happy to conduct audits fully off-site if this is more convenient for you. In this case, records should be made available via your preferred method, e.g. sending a USB to our office or uploading files on Sharepoint. We also request phone/email correspondence with relevant staff.

Our services do not end when we finalise the report. Until your next audit, you can access Uddhav for any expert AML/CFT advice you need, completely complimentary. Visit our consulting page for more information.