Compliance File Reviews

Involve the systematic examination of client and business files to ensure they meet legal, regulatory, and internal compliance standards.This service identifies gaps, errors, or inconsistencies in documentation, assesses adherence to policies, and highlights potential risk exposures as well as areas of best practice. It supports organisations in maintaining audit readiness, mitigating regulatory risks, and enhancing the overall quality and integrity of their compliance processes.

What we offer

  • File reviews for general compliance checks, AML specific compliance, CDD, and source of funds checks
  • Identification of gaps, errors, or missing documentation
  • Risk-based feedback and practical improvement suggestions

Why it matters

Regular file reviews uncover issues before regulators do. We help ensure your records are complete, compliant, and audit-ready. It also helps to spot any trends, training needs or areas of best practice.

Get in Touch Today

Contact us now to learn how we can support your compliance needs and enhance your organisation.