AML-Monitoring Visit Preparations and The Role of the MLRO (Sep 24)
Category: Law & Regulation and Compliance | Duration: 1hr | Tag: VODSEFEUK24D2S2 | Type: Video | Course Level: Intermediate | Speaker: Elaine Jackson | Date: 11/09/2024 10:00
Course Details
As Accountants, Book-Keepers, Auditors, Tax Advisers we need to be prepared for the instance when our Regulating Body selects our Firm for an AML Audit or AML Desk Top Review.
We want to clearly demonstrate that we are compliant with the current Regulations and Guidance from our Regulating Body, that we conduct Customer Due Diligence, that we know what to do when we identify Suspicious Activity.
In this course Elaine guides you on how best to prepare for your Monitoring Visit and the significant role of the MLRO in preparing your Firm for that AML Audit or AML Desk Top Review.
Elaine Jackson covers the following topics during this course:
- AML Action Plan
- The Role of the MLRO
- The Internal AML Compliance Review
- Presenting Documents for Inspection
- Issues being raised on Monitoring Visits
CPD Course Speaker
OmniPro Practice Support
Elaine Jackson
As a member of our Practice Support team, Elaine’s focus is on providing firm’s with assistance and training in the following areas; Anti-Money Laundering, Auditing, Preparing for Monitoring Visits and Post Monitoring Visit follow-ups.
Elaine has over 15 years Accountancy Practice experience which has provided her with a wealth of knowledge across all industries and sectors. Elaine is an AITI Chartered Tax Advisor, a Certified Public Accountant and holds a Diploma in Corporate Finance.
Elaine has over 15 years Accountancy Practice experience which has provided her with a wealth of knowledge across all industries and sectors. Elaine is an AITI Chartered Tax Advisor, a Certified Public Accountant and holds a Diploma in Corporate Finance.