Our simple approach to the audit process allows us to provide your report quickly once all documentation is provided.
Independent Review Process
State Diagnostic Audit Process
We send you an interview to better understand your business. Additionally, we request documentation needed to analyze your business, different types of transactions, and compliance with the Bank Secrecy Act and other applicable regulation.
We conduct an analysis on the information provided. If any further documentation or explanation is needed, we request it at this stage. We focus on compliance with Bank Secrecy Act and Anti-Money Laundering, with some emphasis on state requirements and industry best practices.
We compile our analysis and assessment into a concise report outlining our findings. Our report clearly outlines any deficiencies that may have been identified.
We provide the report to you for review and acceptance. We discuss any findings with the Compliance Officer or Owner in order to make sure that any issues are addressed immediately.
We send you an interview to better understand your business. Based on state regulation and requirements, we request an exhaustive list of documentation for transactions, KYC, and other requirements.
We conduct an analysis on the information provided. If any further documentation or explanation is needed, we request it at this stage. We focus on compliance with state regulation and industry best practices, as well as Bank Secrecy Act and Anti-Money Laundering.
We compile our analysis and assessment into a concise report detailing our findings. This report is exhaustive in order for you to utilize it to improve upon the health of your compliance overall.
We provide the report to you for review and acceptance. We discuss any findings with the Compliance Officer or Owner in order to make sure that any issues are addressed immediately.