Critical Partnership: Compliance and Internal Audit

Make sure you don't miss our next AML Voices webinar,  Critical Partnership: Compliance and Internal Audit on October 28, 2021 at 4 pm.

In addition to the regulatory examination process, having a successful internal audit remains essential to strong AML policies and procedures. This session will cover the pitfalls that cause audit problems and best practices for improving your audit. The key to any success is communication and training. 

Our panelists will discuss the following topics:

• Auditors as generalists
• How to get the appropriate training
• What is “materiality” in an AML world
• Describing a “curing” process
• How to distinguish between what’s important and what’s not
• Validation of an oral requirement
• What is a violation of law?
• Work paper documentation