AML is not an one time event, but is about Continuous Improvement
A Mock AML Audit has many advantages
Are you a regulated firm under the Money Laundering Regulations and feeling uncertain about the current state of your AML programme?
Perhaps it’s been some time since your last review, or you're simply looking for a proactive assessment ahead of your next mandatory Regulation 21 audit.
If you’re new to the role of MLRO—or have recently taken on AML or compliance responsibilities—it’s entirely reasonable to seek a fresh, independent perspective. Stepping into someone else’s shoes can be challenging, and having that “second sight” can provide the clarity and confidence you need to move forward with assurance.
Strengthen Your AML Defences with a Mock Audit
Don't wait for a regulatory audit to uncover potential weaknesses.
What is a Mock AML Audit?
- Policies, Controls & Procedures (PCPs): Are they current, complete, and truly implemented?
- CDD & EDD Processes: Are your due diligence practices robust and regulation-ready?
- Firm-Wide Risk Assessment: Is it documented, data-driven, and influencing your AML strategy?
- Staff Training: Does your team know their AML responsibilities and how to act?
- Record Keeping: Are your records accessible, accurate, and audit-ready?
- Suspicious Activity Reporting: Do your internal systems catch and report issues efficiently?
Why Invest in a Mock AML Audit?
Because it is a mock there tends to be a greater degree of collaboration and frankness: This actually assists to delve deeper and creates an environment for greater openness and growth
Spot Weaknesses Early: Identify gaps before the regulator does.
Strengthen Your Compliance: Fine-tune your AML framework and meet—or exceed—regulatory standards.
Build Internal Confidence: Give your team clarity and direction on what good AML looks like.
Support for Regulation 21 Audits: Use findings to prepare thoroughly for formal reviews.
Demonstrate Proactivity: Show your commitment to staying compliant and reducing risk.
Important: A mock audit offers valuable insights, but it’s not a substitute for a Regulation 21 audit. Responsibility for AML compliance always remains with your firm.
Still Feeling Unsure?
If you’ve made it this far, there’s probably a reason.
Maybe it’s a quiet concern you’ve been meaning to address.
Maybe you just want reassurance that you’re on the right track.
Whatever it is—trust that instinct.
It’s okay to have questions. It’s okay to want a second opinion.
And it’s more than okay to seek support before the pressure’s on.
Let's Talk
We’re always happy to have a simple, honest conversation—whether you’re looking for clarity, confidence, or just a starting point.
Whenever you’re ready, we’re here.