What financial service firms does ABM Global Compliance support?

We assist firms in banking, payments, electronic money, capital markets, and other financial-services sectors with compliance, regulatory authorisation, AML/CTF, risk management, governance, and ongoing compliance support.

Do you help with regulatory licensing and authorisation?

Yes. We provide support with preparing applications, understanding requirements, capital, governance, policies, and liaising with regulators for financial services licensing.

What AML/CTF obligations do financial service firms need to meet?

They need to have customer due diligence (KYC/KYB), transaction monitoring, reporting of suspicious transactions, sanctions screening, risk assessment, record keeping, staff training, and internal oversight.

How often should financial service firms review and update their compliance frameworks?

At minimum annually, or sooner if there are regulatory changes, internal incidents, or business model changes that affect risk or operations.

What is regulatory reporting and how can you help?

Regulatory reporting includes periodic or ad-hoc filings required by regulators. We help firms prepare, review, submit these reports accurately and on time, and advise on new reporting requirements.

Why are governance & internal controls important in financial services?

Good governance ensures accountability, oversight, risk awareness, and helps maintain regulatory compliance. Internal controls help prevent errors, fraud, non-compliance, and protect the firm and its customers.

Financial Services Advisory | ABM Global Compliance

Regulatory Licensing & Registration

ABM assists clients in obtaining necessary registrations and licenses with U.S. regulatory bodies such as the Financial Crimes Enforcement Network (FinCEN), Securities and Exchange Commission (SEC), and relevant state financial regulators. We guide firms through complex application processes for Money Services Business (MSB) registration, broker-dealer licenses, and virtual asset service provider (VASP) approvals. Our experts ensure compliance with federal and state laws, including the Bank Secrecy Act (BSA) and related regulations.

Compliance Framework Development

We design and implement customized compliance programs tailored to your business operations and regulatory obligations. This includes drafting comprehensive policies and procedures covering Anti-Money Laundering (AML), Countering the Financing of Terrorism (CFT), Know Your Customer (KYC), data privacy, and risk management. Our frameworks help clients proactively manage compliance risks and maintain ongoing adherence to U.S. financial regulations.

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Anti-Money Laundering and Counter Financing of Terrorism (AML/CFT)

ABM develops robust AML and CFT programs aligned with requirements set by FinCEN and the U.S. Department of the Treasury. We support implementation of customer due diligence (CDD) and enhanced due diligence (EDD), sanctions screening, transaction monitoring, and Suspicious Activity Report (SAR) filing protocols. Our solutions ensure early detection and mitigation of financial crime risks within your operations.

Internal Audit & Compliance Reviews

Our independent audit services evaluate the effectiveness of your compliance controls, AML/CFT programs, and governance practices. We conduct thorough gap analyses against U.S. regulatory standards, including the Bank Secrecy Act and SEC requirements, and provide actionable remediation plans. Regular compliance health checks prepare your organization for regulatory examinations and help avoid enforcement actions.

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Ongoing Compliance Support & Outsourcing

ABM offers outsourced compliance functions including acting as a dedicated Compliance Officer, Money Laundering Reporting Officer (MLRO), or Data Protection Officer (DPO). We provide continuous monitoring of regulatory changes, impact assessments, and compliance reporting support. This service is ideal for startups and mid-sized firms seeking expert compliance without the overhead of in-house teams.

Regulatory Inspections & Enforcement Preparation

We prepare clients for regulatory inspections by conducting readiness assessments and mock audits based on expected FinCEN, SEC, and state regulator inquiries. Our experts develop response strategies and assist with drafting submissions and corrective action plans. This proactive approach minimizes risks associated with enforcement proceedings and regulatory scrutiny.

Training & Capacity Building

ABM provides customized training workshops and certification programs designed to build compliance awareness and competency across your organization. Our training covers AML/CFT regulations, sanctions compliance, market conduct standards, and ethical business practices. We also offer board-level briefings to ensure leadership is fully informed of regulatory responsibilities.