Compliance Audit
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Compliance Audit Overview
As the Compliance Officer at ABM Global Compliance Canada, it is imperative to ensure that our organization operates within the bounds of all applicable laws and regulations. In order to achieve this, a thorough compliance audit is necessary to identify any areas of non-compliance and implement necessary improvements. This article outlines the framework and methodology for conducting a compliance audit tailored specifically to our organization’s needs.
This provides various benefits among which will include recommending solutions to remedy findings and shortcomings as revealed by the audit report. Our reports will either reveal the high standards to which you are running your compliance solution or recommend a pathway to developing and maintaining a high standard of compliance by means of internal controls and policies.
Scope of work:
We are aware that the range, scope and style in which a compliance audit can be executed may vary extensively from organisation to organisation, which is why we insist that we have a meeting at the very beginning to determine and define the precise scope of work you require.
Are you Looking for Professional Compliance Audit Service Canada?
Compliance audits may involve one or more of the following:
- Anti-Money laundering guidance.
- Testing the identity of the company & organization by MLR, FCA, and Companies.
- Testing CDD, EDD, Risk Assessment, F & P Test verification Compliance Monitoring.
- Check Staff Training records and testing the standards of Training and Competence as per MLR 2017.
- Sample Testing and verification of Record keeping procedures and records.
- Testing the Risk Assessment and management procedures
- Testing the internal control, the monitoring & management of compliance.
- Check the internal communication of such policies and procedures etc.
- Bank Compliance to money service follow up specially Forex Trading compliance.
- Compliance with relevant stakeholders/ Authority.
Why Choose ABM?
Selecting ABM Global Compliance Canada for your compliance audit ensures a seamless and comprehensive process tailored to your specific needs. With a dedicated team of experienced professionals and a deep understanding of the regulatory landscape in Canada, we guarantee meticulous attention to detail and thorough analysis. Our commitment to excellence, coupled with our track record of success in helping organizations achieve and maintain compliance, makes us the trusted partner for all your compliance needs.
- Expertise: Benefit from our seasoned team of industry professionals with extensive experience in conducting compliance audits across various sectors.
- Customized Approach We tailor our audit process to your unique requirements, ensuring a comprehensive assessment that addresses your specific compliance challenges.
- Regulatory Knowledge: With a thorough understanding of Canadian regulatory frameworks, we navigate complex compliance requirements with ease and precision.
- Proven Track Record: Our track record of guiding organizations towards compliance excellence speaks for itself, demonstrating our ability to deliver results-driven solutions.
- Trusted Partnership: Count on us as your trusted partner in navigating regulatory complexities, providing ongoing support and guidance to ensure compliance sustainability.