Compliance assessment

AML Programme Walkthrough

A line-by-line walkthrough of customer due diligence, alert handling, and escalation practice for fintech products with Taiwanese customers.

Request a scoping call See the engagement map
Professional in a tailored suit standing in a modern office
Compliance lead preparing alert samples for walkthrough.

Who this is for

Compliance officers and founders who need an outside reviewer to pressure-test whether written AML procedures match how alerts and high-risk customers are actually handled.

Result you leave with

Observation notes on policy-to-practice gaps, sample file quality, and training or staffing friction that slows timely escalation.

Scope

Included

  • Review of CDD and EDD procedures against live case samples
  • Observation of alert triage queues for a defined window
  • Feedback on escalation minutes and SAR decision logs where shared
  • Practical remediation themes for a small compliance team

Outside this engagement

  • Filing reports with authorities
  • Running your monitoring rules engine
  • Legal opinions on predicate offences

How the work runs

We sit with the case files, not only the policy binder.

  1. 1

    Policy read

    Align on product risk statements and customer segments.

  2. 2

    Case sampling

    Review anonymized or masked files for completeness and timing.

  3. 3

    Practice brief

    Share findings with compliance and operations owners together.

Duration

Two to three weeks.

Delivery

Remote and on-site hybrid within Taiwan.

Preparation

Prepare masked samples across onboarding declines, cleared alerts, and escalated cases.

Pricing basis

From NT$110,000 depending on alert volume and product count.

Test whether the programme holds under real cases

Describe your product mix and monthly alert volume for a scoped walkthrough.

Schedule a walkthrough talk