"That which is measured improves..."
"That which is measured improves. That which is measured and reported improves exponentially." - Pearson's Law (Attributed)
While not directly about risk management, this principle highlights the importance of monitoring and evaluating risk management processes to drive continuous improvement
The concept emphasises that measuring and reporting on risk management activities leads to better outcomes
Anti-Money Laundering: Compliance Overview
Protect Your Business. Strengthen Your AML Framework.
Money laundering is the process of disguising the origins of illegally obtained funds—turning “dirty” money into something that appears legitimate. To prevent this, the UK government introduced the Money Laundering Regulations 2017, which set out clear legal obligations for individuals and businesses working in regulated sectors.
At Alexander Christian, we support regulated professionals and firms with practical, focused, and confidential Anti-Money Laundering (AML) compliance services. Whether you're seeking reassurance, preparing for an audit, or addressing gaps in your current AML compliance framework, we’re here to help.
In addition we are also holding Virtual AML Coffee Events - you can find out more about The Brew at the bottom of this page.
Book your free 15-minute chat*
Practical AML Support for Regulated Professionals
Strengthen Your AML Compliance Today - Initial Fixed-Fee Consultation
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- Call Us: 020 4578 4684
Define Your AML Project Scope - Book Your Essential Scoping Meeting Now!
Ensure a thorough and well-defined AML project from the start. We'll work together to define precise AML project boundaries, establish clear AML objectives, and outline comprehensive deliverables in our essential scoping meeting.
Remember: your firm retains full responsibility for its AML compliance.
Schedule your essential scoping meeting today and lay the groundwork for a robust and well-structured AML project.
- Contact us today!
- Call Us: 020 4578 4684
Ready for Your AML Audit? - Book a Mock Audit Now!
Proactively identify and address weaknesses in your AML programme with our comprehensive mock audit. This simulated review provides a examination of your policies, client due diligence, and staff understanding, helping you strengthen compliance and mitigate risks.
Please note: Ultimate responsibility for AML compliance remains solely with your firm.
Don't leave your firm exposed – book your mock audit now and take a crucial step towards robust AML preparedness!
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- Call Us: 020 4578 4684
(A Mock Audit is not a regulation 21 audit, under the Money Laundering Regulations)
Prepare for Regulatory Scrutiny: Book Your Regulation 21 AML Audit!
Navigating today's complex regulatory landscape requires a robust AML program. A Regulation 21(1)(c) Money Laundering Audit, mandated for regulated firms, demands an examination of your policies, controls, and procedures.
AML Staff Interviews: Exposing Critical Governance Flaws to Regulators
Regulators will directly interview your staff and scrutinise your files. A lack of AML knowledge and poor policy implementation will be immediately apparent, revealing critical governance flaws within your firm. This will be a clear red flag to regulators about your firm's lack of insight and control.
Don't let your firm's deficiencies become blatantly obvious. Schedule your comprehensive AML staff interviews today and proactively address potential governance failures.
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- Call Us: 020 4578 4684
AML Training: Are You Truly Equipped? The Risks of Inadequate Training
AML training isn't a box-ticking exercise; it's a critical defence against financial crime. Ultimately, you, the client, are responsible for ensuring your staff receives targeted, firm-wide AML training that's relevant to their roles and your specific risks.
The Pain of Inadequate Training:
Imagine this: a regulatory audit reveals significant gaps in your staff's AML knowledge. Your team fails to identify red flags, leading to suspicious transactions slipping through the cracks. The result? Hefty fines, reputational damage, and potential criminal investigations.
- Missed Red Flags: Untrained staff can't spot suspicious activity, leaving your firm vulnerable to money laundering.
- Regulatory Penalties: Failure to provide adequate training is a direct violation of AML regulations, leading to substantial fines and sanctions.
- Reputational Damage: A public breach of AML compliance erodes client trust and damages your firm's reputation.
- Operational Inefficiency: Lack of understanding creates inconsistent and slow compliance processes.
- Increased Risk: A poorly trained team makes your firm a prime target for financial criminals.
Beyond the Basics: Tailored Training and Robust Records
Effective AML training goes beyond generic presentations. It requires:
- Specific Content: Training must be tailored to your firm's specific risks, products, and client base.
- Role-Based Learning: Staff should receive training relevant to their specific responsibilities.
- Up-to-Date Information: Training must reflect the latest regulatory changes and emerging threats.
- Robust Records: You must maintain detailed records of all training provided, including attendance, content, and assessments.
Don't leave your firm exposed. Ensure your AML training is comprehensive, relevant, and properly documented.
Ready to strengthen your AML defences? Contact us today. Book a consultation to discuss your AML compliance staff training, staff understanding, and potential governance failures.
- Contact us today!
- Call Us: 020 4578 4684
Is Your AML Implementation A Systemic Failure Waiting to Happen? Schedule Targeted File Reviews
It isn't enough that you have a firm wide risk assessment and policies, controls and procedure, implementation is a key part of your AML control programme.
The fear of a systemic AML implementation failure is real. You have policies, but what about practice?
Are your staff consistently applying your client matter risk assessment requirements?
This is a core part of the control system and can not be ignored.
Don't let systemic failures undermine your entire AML program. Schedule a targeted, bespoke AML file review today—firm-wide, departmental, or sample—and proactively address potential vulnerabilities.
Contact us today to book your assessment.
- Contact us today!
- Call Us: 020 4578 4684
Focused AML Audit - Take Control of Your Known AML Gaps: Schedule a Strategic Focused Audit!
That persistent unease.
The recurring feeling that something in your AML programme needs attention. Have those thoughts been lingering, ignored amidst the daily grind?
Have you found yourself hoping for a break in your workload, setting deadlines that slip away, or simply procrastinating on addressing those nagging concerns?
Don't let uncertainty fester. Taking proactive steps now will lead to significant improvements and prevent potential crises.
Benefits of Proactive Action:
- Reduced Regulatory Risk: Whilst you can't change the past you can now demonstrate your commitment to compliance
- Enhanced Reputation: You can build trust with clients and stakeholders by showing you prioritise robust AML practices.
- Increased Efficiency: You can streamline your AML processes by directly tackling your concerns, freeing up valuable time and resources.
- Peace of Mind: Gain clarity and eliminate the stress of uncertainty by setting dedicated time to address your concerns and take decisive action.
- Preventative Action: Avoid costly and disruptive reactive measures. Remember, a stitch in time saves nine.
Our Focused Area AML audits provide a strategic, targeted review of the specific areas you've identified, delivering the actionable insights you need to enhance your compliance program and eliminate those lingering doubts.
Reclaim control of your AML programme potential weaknesses. Schedule a confidential consultation today and strategically enhance your compliance efforts. Turn your uncertainty into confident action.
Why an external Independent Independent Audit maybe your next step: Avoid a Siloed Approach
Why an External, Independent AML Audit May Be Your Next Step: Avoid a Siloed Approach
In today's complex regulatory landscape, maintaining robust Anti-Money Laundering (AML) compliance is paramount. But are you truly seeing your programme with clear eyes? It's easy to develop a "rose-tinted" view when assessing 'your own work,' leading to missed gaps and potential vulnerabilities.
The Challenges of In-House AML Audits:
- Siloed Perspective: Internal teams, deeply embedded in daily operations, can struggle to identify systemic weaknesses or blind spots.
- "Marking Your Own Homework": A lack of independent scrutiny can result in overlooked issues, creating a false sense of security.
- Uncertainty and Doubt: Even with the best intentions, internal teams may lack the objective viewpoint needed for a truly comprehensive assessment.
The Advantages of an External, Independent AML Audit:
- Objective and Unbiased Assessment: An external consultant brings a fresh perspective, free from internal biases and preconceived notions.
- Gap Identification and Remediation: External audits pinpoint vulnerabilities and provide actionable recommendations for strengthening your AML programme.
- Regulatory Confidence: Demonstrating a commitment to independent scrutiny reassures regulators and stakeholders of your dedication to compliance.
- Best practice insight: External consultants work with many firms, and can provide best practice insight.
Avoid a Siloed Approach:
Don't let internal biases compromise your AML compliance. An external, independent audit provides the objective assessment you need to ensure your programme is robust and effective.
Ready to gain a clear and unbiased view of your AML compliance? Contact us today for a confidential consultation and discover how an external audit can strengthen your defences.
- Contact us today!
- Call Us: 020 4578 4684
Follow-Up: Implementation Reviews - Don't Let AML Audit Recommendations Gather Dust!
Are your AML audit recommendations truly making a difference?
Are your AML audit recommendations just gathering dust? The harsh truth is, without regular implementation reviews, your hard-won audit findings become meaningless, leaving you vulnerable to regulatory penalties and eroding trust.
Imagine investing time and resources into an AML audit, only to see recommendations languish. Staff revert to old habits, policies remain unchanged, and your risk profile remains vulnerable. This is the painful reality of failing to conduct regular implementation reviews.
The consequences are clear:
- Increased Regulatory Risk: Regulators expect to see tangible progress following an audit, not just good intentions.
- Operational Inefficiencies: Untapped recommendations can lead to missed opportunities for improved compliance.
- Erosion of Trust: Clients and stakeholders may lose confidence in your firm's commitment to AML best practices.
Don't let your AML audit be a hollow exercise. Transform recommendations into tangible compliance with our tailored implementation reviews.
We'll work with you to:
- Assess the progress of your implementation efforts.
- Uncover and resolve implementation roadblocks
- Provide recommendations and support to ensure effective implementation.
- Verify staff adherence to new procedures.
Stop the cycle of inaction. Schedule your confidential implementation review today and transform your AML audit recommendations into a robust compliance reality!
- Contact us today!
- Call Us: 020 4578 4684
Remediation Assistance: Regulatory Remediation - Avoid Further Penalties - Address Your AML Deficiencies Now!
The regulator's findings of non-compliance serve as a critical wake-up call, demanding immediate and strategic action. Has your firm been mandated to conduct an independent review of client files, particularly regarding client matter risk assessments, source of funds, and high-risk indicators we can help you with our remediation services.
This is not merely a reactive measure; it’s an opportunity to not only rectify the current situation, but also build a stronger, more resilient AML programme that anticipates and mitigates future risks.
How we can help:
- Conduct a thorough and independent review of your client files.
- We will help you identify and rectify non-compliant practices.
- We can help you to develop and implement robust corrective measures.
- Provide documented evidence of your remediation efforts.
- Help you prepare for future regulatory interactions.
Don't allow this setback to define your firm’s trajectory.
Request a consultation to discuss how our bespoke remediation services can help you transform compliance challenges into a foundation for continuous AML improvement.
- Contact us today!
- Call Us: 020 4578 4684
Want a Fixed Fee AML Discussion?
For an informal discussion about your AML compliance, we offer a fixed-fee appointment. Please note, we cannot provide formal legal or regulatory advice. You remain responsible for your AML compliance. For definitive legal or regulatory guidance, please consult a qualified legal professional.
- Contact us today!
- Call Us: 020 4578 4684
Watch this space
Keep an eye out for new Anti-Money Laundering services designed to further strengthen your compliance programme.
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Why Choose Us
We will be holding regular Free Online Virtual Coffee Meets, to discuss AML Topics
Interested in Anti-Money Laundering? Join us!
Informal - very relaxed, informal conversation between friends
Convenient - Online - only 30minutes - just like a coffee break chat
Non-judgmental - We are all on a learning curve - open and frank exchange of insights and experience
Chatham House Rules - what is said at The Brew stays at the Brew
Free: There is no charge for the 30minute virtue coffee chats
Get your free tickets via Eventbrite
Key Blog Posts
Some blog posts you may find interesting
LSAG 25
Key Takeaways to the latest version of the LSAG Guidance
Key Takeaways from an Ex-regulator
Insights from a Former Regulator
OSFI Legal Services Threat
April 2025, OSFI published their Threat Assessment
Key Takeaways
We occasionally provide special offers subject to conditions to our AML Newsletter sign-ups.
Compliance Doesn’t Have to Be Complicated
Whether you're seeking an audit, or other services, we’re here to make compliance feel clear, manageable, and even empowering.
No jargon. No pressure. Just support tailored to your business.
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Get in Touch at Any Time
Do not hesitate to contact us with any queries.
Alexander Christian
Harrow Business Centre
429-433 Pinner Road
North Harrow
Middlesex
Greater London
HA1 4HN
Phone : 020 4578 4684
www.alexanderchristian.co.uk