Most Common Audit Findings Webinar

We will share our experience of where the key areas of high risk are in payments, e-money institutions, challenger banks. We’ll cover trends we see arising from audits conducted and cover the following areas:

What findings will be discussed within this webinar?
Most common AML Compliance Audit Findings:
• Customer Due Diligence
• Evidence of Enhanced Due Diligence
• PEPs and Sanctions Screening
• Compliance Monitoring Planning
• Suspicious Activity Reporting
• Transaction Monitoring (Rule sets/ evaluations of alerts)
• Oversight
• Whole firm risk assessment
• Client Risk Assessment

We will delve into a range of compliance vulnerabilities in practice, but also provide an insight on how firms have improved their compliance procedures in the last year and thus reduced their own regulatory, reputational, and financial risk exposure.

This session is aimed at those who are employed within e-money and payment institutions and who may be required to participate when their firm undertakes a AML Compliance Audit.

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Who we help

We are specialists in providing regulatory advisory services to a broad range of financial services institutions including payment services and e-money, retail banks, cryptocurrency, trading and broking and asset management firms.


How we help

We work across three core areas of regulatory compliance, financial crime and cyber security and provide a range of services including compliance advice, authorisations, audits, interim roles and compliance training.

Find out more

At fscom, we strive to offer excellent service in a professional and personable manner. We deliver this through our unrivalled understanding of financial services regulation and a strong emphasis on taking a commercial and innovative approach that puts our clients’ needs first.

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