Assurance
Independent Compliance Audit & Assurance
Independent reviews that test whether the framework works in practice and give management a defensible evidence trail.
What we test
Our reviews go beyond desktop policy comparison. Scope is risk-based and may include governance, risk assessment, customer files, transaction monitoring, regulatory reporting, training, outsourcing and control evidence.
Typical engagements
- Independent AML/ATF effectiveness reviews
- Financial crime audits
- Compliance health checks / gap assessments
- Thematic reviews
- CDD and high-risk customer file testing
- Transaction and alert sampling
- Remediation validation
- Management action plans and debriefs
Independence and objectivity
Where 360 Compliance Consulting Limited has materially supported the design or implementation of controls, assurance work is appropriately sequenced, scoped or separately resourced to protect objectivity.
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Considering this service?
Tell us where you are regulated and what is creating pressure. We will help you define the next practical step.