Anti-Money Laundering Audits for Broker Dealers

Broker Dealer firms are required by FINRA 3011 to undergo an annual AML Audit in which an independent auditor tests the Anti-Money Laundering program to ensure its effectiveness and compliance.

ACI’s team of legal and regulatory professionals are certified to conduct Anti-Money Laundering Audits that include, but are not limited to:

• Comprehensive review of the current AML program.

• Review of past AML Audits, exception reports, customer identification records, and other required documentation.

• Utilizing ACI’s regulatory examination matrix to insure you pass the next AML Regulatory audit