Audit engagement
AML Programme Health Check
A focused review of customer due diligence files, alert handling, and SAR escalation paths for fintech teams under Taiwanese AML expectations.
Who this is for
Compliance managers at remittance, wallet, and lending fintechs who need an independent view of whether file quality and alert closure stand up to sampling.
What is included
- Sampling of new and existing customer due diligence files
- Review of alert disposition notes and escalation timing
- Gap notes against your documented AML procedures
- Remediation workshop with the compliance team
What sits outside scope
- Full forensic investigation of suspicious activity
- Vendor selection for screening tools
- Staff secondment into day-to-day alert clearing
How the engagement runs
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1
Evidence request
We request file extracts, alert ageing reports, and training records.
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2
Sampling week
Independent testing of selected files and closed alerts with written queries.
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3
Debrief
Findings shared with compliance; optional short note for audit committee.
Duration
Two to three weeks.
Delivery
Remote document review with one on-site day in Taiwan when files are paper-heavy.
Preparation
Export recent alert closures and prepare a liaison who can unlock redacted case notes.
Fee basis
Day-rate or capped fixed fee; see Rates.
Ready to scope this audit?
Share your licence type, product lines, and preferred window. We will reply with a draft scope and fee range.
Start with a scoping call