ABM Global Compliance offers a compliance audit service that aims to provide a health check and detailed review of your organisation’s compliance standards.

This provides various benefits among which will include recommending solutions to remedy findings and shortcomings as revealed by the audit report. Our reports will either reveal the high standards to which you are running your compliance solution or recommend a pathway to developing and maintaining a high standard of compliance by means of internal controls and policies.

Scope of work:

We are aware that the range, scope and style in which a compliance audit can be executed may vary extensively from organisation to organisation, which is why we insist that we have a meeting at the very beginning to determine and define the precise scope of work you require.

Compliance audits may involve one or more of the following:

  • Anti-Money laundering guidance.
  • Testing the identity of the company & organization by MLR, FCA, and Companies.
  • Testing CDD, EDD, Risk Assessment, F & P Test verification Compliance Monitoring.
  • Check Staff Training records and testing the standards of Training and Competence as per MLR 2017.
  • Sample Testing and verification of Record keeping procedures and records.
  • Testing the Risk Assessment and management procedures
  • Testing the internal control, the monitoring & management of compliance.
  • Check the internal communication of such policies and procedures etc.
  • Bank Compliance to money service follow up specially Forex Trading compliance.
  • Compliance with relevant stakeholders/ Authority.

Are you looking for MLR & FCA compliance support?