Infrastructure Node

Audit engagement

AML Walkthrough & Sampling

Sit with compliance owners to walk KYC files and alert dispositions, then sample enough cases to show how the programme behaves under pressure.

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Hands reviewing printed reports and a pen on a desk

Who this is for

Compliance leads at payment and remittance firms who need an independent sampling pass before an inspection or board challenge.

What you receive

Sampling worksheets, observation notes, and a short briefing for the compliance committee.

Duration
One to three weeks depending on sample size
Delivery
On-site preferred for file rooms; remote possible with secure file share
Fees
Day-rate or fixed fee from NT$95,000 for a defined sample
Provider
AML-experienced audit staff paired with an engagement reviewer

Included

  • Walkthrough of onboarding and periodic review procedures
  • Sample selection across risk bands
  • Review of alert disposition quality and escalation timing

Not included

  • Full lookback investigations
  • System configuration changes

How the work unfolds

Confirm population and risk stratification

Perform walkthroughs and sample testing

Brief compliance leadership on patterns and gaps

Preparation & limits

Prepare: Population extracts, alert queues, and documented disposition standards

Constraints: We sample; we do not replace your MLRO’s accountability

Tell us the population size and the inspection or board date you are preparing for

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