What's included
- AML program design, gap assessment, and independent testing
- FINRA Rule 3120 supervisory controls testing and annual certification support
- Investment Advisers Act Rule 206(4)-7 annual compliance program review
- Branch office exams and inspections, including OSJ and non-branch locations
Who it's for
- Broker-dealers due for their independent AML test or annual 3120 certification
- RIAs approaching their Rule 206(4)-7 annual review deadline
- Firms with a multi-branch or remote-office footprint that needs a regular audit cadence
How this fits your stack: whether your AML monitoring, branch inspection tracking, and supervisory certifications run on an existing compliance platform, spreadsheets, or a mix of both, our reviewers work inside what you already have rather than asking you to adopt new systems for the sake of the audit.