AML Audit for Broker Dealer Compliance

With my extensive legal and regulatory experience, coupled with my solid reputation of maintaining compliance, I am an excellent fit for your AML Audit project. Having completed over 1370+ legal projects within diverse domains, such as litigation, contracts, patents, Terms for websites and more, I have gained invaluable insights into maintaining compliance with the law. Of specific relevance to your project, I have a profound understanding of AML and KYC regulations, which are critically important in the broker-dealer space. Furthermore, my expertise covers not just national but international jurisdictions as well, including the US, UK, Australia, India and EU countries. This breadth of knowledge is essential to accommodate for the variations in global regulatory practices. As a lawyer who's well-versed with the statutes affecting your business operations and having completed numerous legal research and drafting tasks successfully in the past on similar subjects matter, I am equipped to provide the keen attention to detail required for a comprehensive audit while strictly adhering to FINRA regulations. My dedicated availability (24x7 customer support), emphasis on delivering quality work (unlimited iterations free of cost) while assuring you with complete satisfaction (100% money-back guarantee), reflect my commitment to put clients first. Choose me for a meticulous audit that will ensure your adherence to compliance!

Hello As a licensed external auditor with extensive experience in auditing broker-dealers, I am well-versed in FINRA regulations and compliance requirements. I propose conducting comprehensive audits for the specified periods (January 1, 2022–June 30, 2023, and July 1, 2023–June 30, 2024), ensuring strict adherence to FINRA standards. My expertise includes detailed financial reviews, compliance assurance, and addressing Anti-Money Laundering (AML) considerations. With a proven track record of assisting businesses in achieving regulatory compliance, I am confident in delivering accurate and timely audit reports to satisfy your FINRA obligations. Let’s work together to meet your compliance needs effectively. Best regards, CPA Stephen