👥 Purpose: Define your needs

During this meeting, we will:

• Understand your objectives

• Identify the type of audit required

• Check original ID documents

• Begin drafting your custom Audit Plan

Some times the initial meeting and the scoping meeting are two separate meetings, this depends on the nature of the inquiry from the firm, if it is just a fixed fee initial consultation or whether want to go further detail about the Scope of the audit or work to be undertaken.  

📋 Purpose: Confirm expectations and formally onboard your firm.

You will receive:

• Your tailored Audit Plan

• A list of required documents

• Our T&Cs

• Payment details and fee breakdown (plus VAT**)

Note: All fees must be cleared before we proceed.

📥 Purpose: Provide the documents needed for a thorough audit.

Submit the documentation outlined in your Audit Plan to allow us to prepare.

📋 Purpose: Assess the practical implementation of AML procedures.

We will:

• Review client and matter files

• Consider your approach to due diligence and risk management

• Liaise directly with your MLRO throughout this stage

🗣️ Purpose: Understand how AML policies are applied day-to-day.

We will:

• Visit your firm or meet remotely

• Interview a sample of staff across departments

• Evaluate real-world AML awareness and application

🔄 Purpose: Share initial findings and gather your feedback.

You will receive a Draft Report summarising our:

• Key observations

• Initial recommendations

We will also:

• Meet with your MLRO or Board

• Allow time for responses or clarifications

📑 Purpose: Deliver a finalised, actionable audit report.

You will receive the Final Audit Report, addressed to your MLRO and/or Board, containing:

• Full findings

• Finalised recommendations

• Observations for improvement

📅 Purpose: Support ongoing compliance improvements.

If requested, we can:

• Conduct a 3-month post-audit check-in

• Assess how recommendations have been implemented

• Provide a written Follow-Up Report