AML AUDIT & ANALYTICS


Actionable Intelligence to Minimize AML Risk

 

Let DSA Perform Your Independent AML Review

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  1. True Independence – Use DSA’s consultants to avoid one of FINRA’s most frequently cited problems with AML reviews – the lack of independence by internal reviewers.
  2. AML Expertise – Let the Certified Anti Money Laundering Specialist (CAMS) at DSA do what they do best while your employees focus on their regular job duties.
  3. Broker/Dealer Regulatory Experience – DSA’s consultants are former securities regulators and are knowledgeable about what regulators are looking for.
  4. AML reviews tailored to your business model – DSA will tailor the AML audit to your firm’s risks and business model, whether a small investment bank or a regional broker/dealer.
  5. Fully documented written report of the AML review – DSA will provide a fully documented report that will guide your firm through improvements that can be made within the AML program.

 

AML Data Analytics

DSA offers Anti-Money Laundering dashboard development, key metrics and interactive analysis. We proactively identify escalating AML risks through trend and pattern analysis.

 

Contact us today for a free estimate. Phone: (813) 994-3340 E-mail: info@securitiesanalytics.com