Dynamic-GRC

AML Employee Assessment

Firms ultimately depend on their employees to implement and operate their AML defences.

AML Assessment Report
AML Employee
Assessment
AML Employee Risk Assessment
AML Employee
Risk Assessment
AML Best Practices
AML Employee
Best Practices
AML Risk Heatmap
AML Employee
Risk Heatmap

Challenge

Employees work at the leading edge of a firms AML defences on a daily basis; it is critical that they diligently follow the firm’s processes and give AML the necessary attention.

With regulators focus on AML outcomes a single failed check or control can result in huge fines. Ensuring employees fully understand the importance of their AML responsibilities and have the resources to operate the firm’s AML checks and controls is critically important.

AML Employee Assessment

The AML Employee Assessment gives firms a insight into their AML checks, controls, management and culture from an employee perspective.

Each AML Employee Assessment report includes:

  • AML Risk Heatmap
  • AML Best Practices
  • Intra-Group AML Benchmarking 

Designed with our partners, Jersey headquartered AML, sanctions and compliance experts Baker Regulatory Services (BRS), the AML Employee Assessment utilizes specifically designed AML Questionnaires which are completed by directors and employees.

The responses to the AML Questionnaires are used to generate a report which includes AML Risk Heatmaps, recommended best practices and, for groups with multiple entities, intra-group benchmarking.

AML/CFT Compliance Governance

Ensure employees have a clear understanding of their firm's AML/CFT controls and management.

Firm AML/Compliance Culture

Assess employees perception of the firm's importance placed on AML/CFT risk identification and resolution.

AML/CFT Training

Ensure employees are confident they are getting the AML/CFT training they need and that the training is relevant to their firm's activities and jurisdiction.

GRC-Maestro

Prove Compliance – Evidence your Governance, Risk & Compliance (GRC)

Automate GRC – Run manual checks and processes automatically

Low Cost – Quick and easy to use + low pricing

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