AML Audit

As an accountancy service provider, it is your responsibility to ensure you and your firm are compliant with the AML legislation. Our audit will help you to achieve this and provide you with peace of mind that you have a compliance culture within your firm and the necessary documentation and processes in place. This will help you in being successful in any inspection process and to be confident that you would identify money laundering activity. An audit includes:

• Review of risk assessments and policies and procedure documentation.
• Review of training records.
• A ‘dip-sample’ of client files to review CDD.
• Answer any questions you may have.

Following the audit, you will be provided with a report identifying any areas in which we believe you do not meet legislative requirements and provide an action plan to assist you in becoming compliant with the AML regulations.

We also offer as optional services:

• A full review of client documentation.
• Drafting of whole of firm risk assessment and policy and procedure documents.

AML audits can be carried out either in person or online and can be discussed at time of booking.

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Support Package

Our support package will provide direct email contact[1] with our technical AML support where Mike or Lucy will chat through and discuss your AML questions to help provide reassurance. It will also include email updates with items of interest. We believe that with Lucy’s experience running a successful business in the accountancy sector together with Mike’s experience investigating financial crime and carrying out AML inspections, within the sector, this support package would be an asset to your firm.

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Upgrade Support Package

Our Full Annual Support Package, in addition to the technical AML support and regular AML email updates, an AML audit will be conducted at the end of the 12 months to coincide with your regulatory annual review.

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AML Training

At Calathea Solutions we believe in being prepared and not scared. Our experience shows that once you are armed with the knowledge required, compliance with AML is second nature. At the same time as identifying anybody attempting to launder money, you are conforming to legislation, protecting your business, livelihood and reputation.

Whether you require a refresher course or in-depth training Calathea Solutions’ modular approach to training will enable us to build you a training course relevant to you and your staffs’ needs. Training can include real life examples of when things can go wrong and how to help negate such incidents, looking at it from a money launderer's perspective.

After the session each participant will be provided with a simple assessment to verify their understanding and a certificate of attendance.

Training will be provided live and either online or in person at a location of your choice.

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