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We provide independent statutory AML audits throughout New Zealand to law firms, accounting practices and real estate agencies. As we specialise in these types of businesses, our audits focus on the actual AML risks that you and your staff face. Our audits will make sense and are informative to help you comply as efficiently as possible.

Standard AML Audit

Designed to meet the statutory AML audit requirement in a cost-effective way.

  • Required every three years
  • Reviews the “Risk Assessment”
  • Reviews the “Compliance Programme”
  • Reviews “Controls and Monitoring”
  • Includes checking an agreed sample of clients to test implementation
  • Includes discussions with the Compliance Officer.
  • Easy to read and understand audit report.
  • Full debrief focused on findings and potential improvements
  • Remote or onsite options

Detailed AML Audit

If you are wanting a higher level of comfort from your audit, a Detailed AML Audit includes:

  • All the services provided as part of a Standard AML Audit.
  • Extra discussions with your compliance staff, the Compliance Officer and senior management.
  • Interviews with an agreed number of staff to test their knowledge of your AML procedures.
  • A separate debrief with senior management if required.

Other AML Audit Options

Your statutory audit is required every 3 years. We offer the following options to assist with your ongoing compliance between audits:

  • Checking a sample of clients to independently test implementation.
  • Reviewing your Risk Assessment and Compliance Programme to ensure it remains aligned to act changes and guidance material.
  • Testing your internal controls and monitoring processes for effectiveness and efficiency.
  • Reviewing your appointment of an Electronic Identify Verification (EIV) provider or third party CDD provider, to ensure they align with the DIA’s requirements.
  • Bespoke reviews or second opinions on other audits

To get the best value out of your AML Audit:

  • Ensure it is a collaborative approach. We will always work in your best interests to ensure the timing and audit process cause you minimal disruption. The scope, timing and audit process chosen will be discussed and agreed to ensure it meets your expectations of cost and effort.
  • Choose an experienced auditor. We are a small team of experienced auditors that specialise in your industry. All our auditors have AML consultancy experience, so they understand the practical side of AML compliance.
  • Consider flexibility. Professional businesses are busy, and things change. Due to our size, we can easily cope with disruptions and delays. We can agree a flexible audit process initially, or you can take comfort that if something unexpected comes up, we can be flexible.
  • Agree expectations. The focus of your second audit is likely to be different from your first. Subsequent audits should focus on what value can be added in terms of process improvements or suggestions, not just technical compliance.
  • Ensure they can be trusted. AML Assist is gaining a reputation for delivering high quality services in a friendly and professional manner. We are small enough that you will get to know us, but big enough to draw on a wide range of experience and knowledge to assist you.

Ready to consider us for your AML Audit?

Call us on 0800 123 369 us for a friendly, no obligation chat about what audit will best suit your business. Email us if you would like a detailed information pack and pricing on our audit options.

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