The FINOP Consultant provides specialized expertise, reduce costs associated with hiring and training a full-time FinOp, and ensure compliance with complex regulations.
Anti-Money Laundering Services
At Edward Gregory and Associates, LLC, our dedicated team offers anti-money laundering services to assist your firm in meeting the independent testing requirement mandated by FINRA Rule 3310. With strategic expertise and a keen understanding of regulatory requirements, we provide comprehensive support to ensure your firm’s adherence to anti-money laundering regulations, fostering a secure and compliant financial environment.
Comprehensive AML Services
We offer robust compliance testing to ensure that your operations meet all the industry standards. Our review includes:
- Regulatory Filing
- Recordkeeping Activities and Adherence to In-House Record Retention
- Written Supervisory Policies
- Know-Your-Customer (KYC) Policies Through a Sampling of New Account Documentation, Account Review, Transaction Reviews, and Suitability Reviews
- AML Supervisor’s Records of the Transaction, Account Monitoring, Representative Review, and Follow-Up on Reported SARS
With our comprehensive approach to anti-money laundering compliance, you can rest assured that your business is protected and prepared for any regulatory challenges.