AML Audits:

                Your AML auditor is required to be INDEPENDENT and QUALIFIED. We are BOTH.

INDEPENDENT – if there are any conflicts, we will notify you up-front and put you in touch with someone else.  The worse thing to have happen is to have a regulator negate your AML audit because of a perceived lack of independence.

QUALIFIED – I have performed hundreds of audits.  Served as AML Officer for Webster Financial Services. (see ABOUT US).  Developed the initial AML plan for Webster.  I also am diligent in keeping up-to-date with best practices, new regulations, and new expectations.

RIA Audits:

MOCK AUDIT – We pose as a regulator in an actual audit setting. BUT, you are paying us so we work for you!  We will find any deficiencies AND help you to remedy them. 

REQUIRED AUDITS – If you are also a registered representative, your broker/dealer may require an annual third-party audit of your RIA.  We can perform the audit and provide a professional written report.

B/D Mock Audits:

We pose as a regulator in an actual audit setting. BUT, you are paying us so we work for you!  We will find any deficiencies AND help you to remedy them. 

Branch/OSJ Audits:

We perform your required branch and OSJ audits using your template, ours, or a combination of both.  Trend analysis can also be provided.  Additionally, we can provide follow-up services so that any deficiencies are corrected.

ABOVE ALL, we will make this a pleasurable and valuable experience for your reps, if it is within our power to do so.  Maybe your reps won’t dread them anymore!