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ANTI-MONEY LAUNDERING REGULATIONS
ENGAGEMENT SUMMARY

Client
An Investment Advisor serving global ultra-high-net worth clients.

Engagement
The client identified the need to educate their staff on the new and evolving requirements of Anti-Money Laundering (AML) regulations. This topic was to be included in the firm’s Continuing Ed program.

The engagement was to leverage our expertise in AML reporting requirements to develop a program that is comprehensive and focused on the topics critical to the client’s needs. We reviewed recent audit reports from their internal auditors and regulatory examiners. As a result of our analysis, we outlined a training program including the content, self-paced assignments and Q&A to confirm the objectives were achieved.

Deliverable
We met with various levels of staff to understand the client’s daily routines, including controls and reporting protocols. As a result we constructed a multi-week, pre-market opening session schedule to address the critical topics.

Staff members were assigned to attend all or specific sessions based upon their position and responsibilities.

Result
Senior management and staff were satisfied with the program and the improvement and awareness in the AML requirements.  Additional training sessions have been conducted to educate new staff, update to reflect new or modified requirements and reinforce AML concepts.


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