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AML Compliance as a Service

Compliance with AML regulations takes time and requires detailed knowledge. You need to know which rules apply, which documents are mandatory and what you need to provide in the event of an inspection. RegLab takes care of all that for you: from risk analysis to audit. We ensure that your firm is fully AML-compliant, without you losing any grip on the process.

The key to an honest working method

Implementing an AML policy in your firm is not a job to 'do in between'. With RegLab's support, you are assured of a high-quality approach and implementation:

  • A clear AML policy that complies with all legal requirements. 
  • Professional implementation by experienced AML compliance specialists. 
  • Dedicated contact persons who know your firm inside out.
  • Daily source of information with quick answers to questions large and small.
  • An extra pair of eyes that critically review your matters, improve their quality and ensure that you comply with the four-eyes principle.
  • Continuously up to date because we follow the latest guidelines and translate them directly to your firm.
  • Clear reports with periodical feedback on your compliance status and areas for improvement.
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RegLab's AML support

After a brief discussion, we immediately see where improvements can be made. RegLab then guides you in implementing these improvements.

Outsource AML obligations (fully or partially)

No time or capacity? We can take over the process or temporarily supplement your team. We take initiative in all areas, from policy development to matter review, and act as an external resource for all your questions about AML compliance.

 

Quality check of matters (monthly)

We periodically check your AML matters and compare them with your office policy. This prevents backlogs and ensures that everything is in order.

Audit (annual, bi-annual or tri-annual)

We conduct an independent audit and provide you with a clear report highlighting areas for improvement. This saves time and prevents surprises. Especially for firms that want to know where they stand or are preparing for a visit from the regulator.



Help with specific items

A risk analysis and office policy form the basis of the AML process. Did you know that a supervisory authority will ask about these components first during an audit? We offer assistance with each of the following components:

  • Drafting or updating office policies;
  • Drafting or risk policies;
  • Performing risk analysis and determining risk appetite;
  • AML training courses: together, we work towards positive acceptance of AML compliance.

How do you get RegLab's AML support?

Our services are available on a one-off basis or as a subscription. The rate depends on the type and level of support required. We will, of course, provide you with a clear overview of the investment involved. Please feel free to contact us for more information.

Frequently asked questions about our Compliance as a Service 

Can I get the compliance service without the application?

Can I have an occasional audit or quality check done by RegLab?

How does RegLab assist during a visit from the regulator?

What does an AML training look like?

Can Compliance as a Services help me identify and assess AML risks?

How is an AML policy drafted?

What is the difference between a quality check and an audit?

What specific topics are covered during an audit?

What specific topics are covered during a quality check?

More information?

Would you like to use our compliance services? Or would you like more information? Schedule an appointment at a time that suits you best.

After confirming the appointment, you will receive the details of the meeting. It will take place via Microsoft Teams.

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Fully prepared for supervisory inspection?

Do you want to be guaranteed 100% AML proof and ready for a visit from the regulator? Download the checklist.

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