Service
AML/CFT program design
Risk-based AML frameworks, monitoring standards, and escalation playbooks built for regulatory scrutiny and operational efficiency.
Who it is for
Who this service is designed for
We tailor scope and evidence requirements to your operating model and license mix.
- Forex and CFD brokers with complex client risk profiles
- Crypto exchanges and VASPs with travel rule obligations
- Payment institutions and EMI applicants preparing for audits
Scope of engagement
Scope of engagement
Typical inclusions that define the engagement perimeter.
- Risk assessment design and risk factor calibration
- AML policy and procedure alignment
- Monitoring scenario definition and escalation workflow
- Training, testing, and evidence routines
Typical deliverables
Typical deliverables
Concrete outputs mapped to regulator expectations.
AML/CFT policy suite
Policies aligned to regulator guidance and your risk profile.
Risk assessment methodology
Documented risk factors, scoring logic, and review cadence.
Monitoring scenario library
Thresholds, alert tuning guidance, and escalation routing.
Training and testing plan
Role-based AML training and control testing schedule.
Engagement timeline
Engagement timeline
Indicative ranges based on complexity and jurisdiction.
Client responsibilities
Client responsibilities
Inputs and collaboration required for efficient delivery.
- Provide client risk data, onboarding flows, and monitoring inputs
- Assign MLRO or compliance lead for approval decisions
- Confirm alert workflows and escalation contacts
- Review and sign off policy updates
What success looks like
What success looks like
Conservative outcomes we aim to achieve with your team.
- Risk assessment documented with clear methodology
- Monitoring scenarios aligned to risk profile and guidance
- Evidence trail for alerts, escalation, and reporting
- Training and testing cadence established
Process
How we deliver
A structured approach that balances speed, regulator expectations, and operational realities.
Risk model definition
Define risk factors, scoring, and thresholds consistent with regulator guidance.
Program build
Document AML policies, monitoring logic, and investigation workflows.
Readiness validation
Validate controls, prepare evidence sets, and align reporting formats.
Regulatory outcomes depend on evidence and regulator review
We focus on defensible documentation and controls, but regulators determine outcomes.
We design AML frameworks to meet regulatory expectations, but supervisory outcomes depend on regulator review and ongoing execution.
Case study
Related execution example
An anonymized engagement that reflects the scope and outcomes for this service.
Forex Brokers
Compliance programs, execution oversight, and licensing support tailored to multi-entity brokerage groups.
Cryptocurrency Exchanges
Regulatory alignment for virtual asset service providers across licensing, AML, custody controls, and reporting.
Fintech Companies
From licensing strategy to operational controls, we help fintechs scale without compliance surprises.
Related insights
Insights tied to this service
Relevant guidance and practical playbooks for this service area.
Core Controls for VASP Licensing
A regulator-facing view of custody, travel rule, and transaction monitoring controls for virtual asset service providers.
When to Use Outsourced Compliance and MLRO Support
A practical view on outsourced oversight without losing regulatory credibility.
AML Readiness Playbook for High-Growth Brokers
A practical framework to align onboarding, monitoring, and escalation without slowing client acquisition.
FAQ
Service questions
If you need a tailored scope, we can walk through the details.
Do you cover transaction monitoring rules and alert tuning?
Yes. We document scenarios, thresholds, and review cycles and can advise on tuning priorities.
Can you help prepare for an AML audit?
We build the evidence trail and testing pack so audits are faster and more defensible.
Will the program slow onboarding?
The framework is risk-based to keep onboarding efficient while meeting regulator expectations.
Next step
Scope a tailored compliance program
Book a call to discuss jurisdiction priorities, timelines, and evidence requirements.