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AML Compliance GAP Analysis - An international financial institution under regulatory scrutiny required assistance in managing risks associated with high risk products, clients and geographies.
Guidehouse professionals performed a thorough AML compliance gap analysis to assist the financial institution in meeting regulatory requirements and expectations. Guidehouse was also asked to assess the AML audit program and, as a result, provided significant revisions and improvements, including redefining the laws, regulations, and applicable guidance and enhancing compliance controls and testing procedures.
The new AML compliance program and enhanced audit plan enabled the financial institution to self-identify and correct new AML issues in regulatory hot-button areas such as sanctions and trade finance.
Guidehouse is a global consultancy providing advisory, digital, and managed services to the commercial and public sectors. Purpose-built to serve the national security, financial services, healthcare, energy, and infrastructure industries, we collaborate with leaders to outwit complexity and achieve transformational changes that meaningfully shape the future.