Preparing for Regulatory Visits - Practical Steps to Achieve AML Audit Readiness

Introduction

Regulatory visits and audits test whether AML frameworks are effective, evidenced and embedded in day-to-day operations.

This new virtual classroom seminar provides the regulated sector with practical guidance on preparing documentation, demonstrating governance and control effectiveness, and responding confidently to regulator or auditor queries.

It is ideal for MLROs, heads of compliance, AML compliance professionals, in-house legal teams, risk managers and operational leaders responsible for AML controls.

What You Will Learn

This live and interactive session will cover the following:

• What to expect from an AML audit or regulatory visit - scope, themes and evidence requests
• Core documentation checklist - risk assessment, policies, procedures, training, MI and SAR logs
• File testing readiness - CDD files, EDD rationale and ongoing monitoring evidence
• Transaction monitoring evidence - tuning, alert handling, QA and outcomes
• Governance evidence - board minutes, reporting lines, resourcing and challenge
• Common findings and how to remediate quickly
• Managing the visit - communications, ownership and follow-up actions
• Practical tips for creating an audit pack and maintaining readiness

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.