Preparing for Regulatory Visits - Achieving AML Audit Readiness

Introduction

Regulatory visits and AML audits assess whether your AML framework is effective, well-governed and supported by clear evidence.

This practical webinar will help regulated firms understand what regulators and auditors expect, how to demonstrate compliance and the steps that can be taken now to improve audit readiness.

It is ideal for MLROs, Heads of Compliance, AML professionals, in-house legal teams, risk managers and operational leaders responsible for financial crime controls.

What You Will Learn

This webinar will cover the following:

• What regulators and auditors typically look for during an AML visit, including common focus areas and evidence requests
• The essential documentation every firm should have readily available, including risk assessments, policies, procedures, training records and management information
• Demonstrating effective AML controls through customer due diligence, enhanced due diligence, ongoing monitoring and transaction monitoring evidence
• Governance and oversight - evidencing board engagement, reporting, ownership and effective challenge
• The most common AML audit findings and practical steps to address weaknesses before a regulatory visit
• Practical tips for maintaining ongoing audit readiness, preparing an effective audit pack and managing regulatory interactions with confidence

This pre-recorded webinar will be available to view from Friday 4th December 2026

Alternatively, you can gain access to this webinar and 2,400+ others via the MBL Webinar Subscription. Please email webinarsubscription@mblseminars.com for more details.