Audit Services
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!