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EisnerAmper’s AML compliance team of former AML compliance regulators and AML compliance officers have experience helping firms with AML compliance.

Anti-Money Laundering

 

Non-compliance with anti-money laundering (AML) and sanctions requirements can have devastating effects on any financial services business. The EisnerAmper team of Certified Anti-Money Laundering Specialists (CAMS), certified auditors, financial service industry experts and former regulators and compliance officers provide the capabilities, expertise and guidance that firms across the financial services, banking and insurance industries—not to mention non-bank mortgage lenders and real estate operators --expect when dealing with AML and sanctions-related risks.

EisnerAmper has years of experience helping firms comply with AML and trade sanction requirements of governmental and state regulators and SROs that supervise banks, broker-dealers and investment managers in the U.S. and around the globe.  These include requirements of the Bank Secrecy Act (BSA), the USA PATRIOT Act, the Treasury Department’s Office of Foreign Assets Control (OFAC) and Financial Crimes Enforcement Network (FinCEN), and related laws in other global jurisdictions.

What’s more, the EisnerAmper team can provide truly independent assessments and testing of all aspects of AML Compliance programs.  As a member of a PCAOB-registered and supervised company, we follow a strict set of internal quality controls to satisfy our professional duty to meet industry quality standards and ensure our clients receive the highest level of service.

HOW WE CAN HELP

EisnerAmper can provide the following services and solutions to help your firm manage its risks related to AML and trade sanctions compliance:

  • Policy and Management Oversight
    • Developing and Deploying Governance Models
    • Policy Drafting
    • Risk Model Development
    • Program Risk Assessments
  • AML Operational Procedures
    • Design and Remediation Preventative Controls
      • Client Onboarding
      • KYC/Customer Due Diligence (Identification and Verification)
      • Enhanced Due Diligence
    • Design and Remediation of Detective Controls
      • Transaction Monitoring and Filtering
      • Suspicious Activity Monitoring
  • Employee Training
  • Independent Testing
  • Regulatory Response Support
    • Assistance with regulatory enforcement actions
  • KYC Remediation/Look-Backs

Anti-Money Laundering for Bank & Broker Dealers