Assessment Legal is our body of auditors that undertake compliance audits including Independent AML Audit Assessments (IAAAs) as per Regulation 21 of MLR 2017 and Remote Compliance Audits.

Independent AML Audits

Examine – Internal Registers

Audit – Practice-Wide Risk Assessments as per Regulation 18

Interview – MLRO, MLCO and Departmental Heads

Sample – Fee-earner interviews and file audits

Report – Prepare audit report and compliance plan

Certify – Completion of corrective actions from report

Audit Compliance have a team of qualified advisors who can assist and advise your firm.