Date: 2/25/26 ⏱️Duration: 60 minutes
📊Expertise Level: Beginner–Intermediate
Description
Independent AML audits and regulatory exams can be overwhelming for fintechs, MSBs, and their banking partners, especially when documentation, controls, and processes aren’t fully aligned. This session breaks down what auditors and regulators expect, how to prepare before the audit begins, and how to avoid the most common findings that lead to repeat deficiencies. Through practical examples, sample audit questions, and real-world root-cause patterns, you’ll learn how to strengthen your AML program and ensure your team is ready well before an examiner arrives.
Whether you manage compliance, internal audit, risk, onboarding, or operations, this course provides a practical framework for organizing evidence, demonstrating program effectiveness, and remediating issues quickly. You’ll walk away with clear steps to reduce last-minute pressure, increase exam transparency, and give auditors confidence in your processes.
Who This Is Designed For:
Compliance officers, AML leaders, internal auditors, operations managers, risk teams, MSB program owners, and fintech partner-bank relationship managers who need to understand how AML audits work and how to prepare for them effectively.
Agenda
How AML Audits Work: What independent auditors and regulators evaluate—and why.
Common Audit Findings: Issues frequently seen in fintechs and MSBs, and how to fix them.
Documentation & Evidence Prep: What to gather, how to organize it, and how to avoid gaps.
Pre-Audit Readiness: Mock audits, self-testing, and preparation checklists.
Responding to Findings: How to structure remediation and demonstrate program improvements.
By the end of this webinar, you will know how to
Prepare for independent AML audits and regulatory exams with confidence.
Identify and remediate weaknesses before auditors arrive.
Anticipate common findings and understand their root causes.
Build repeatable, audit-ready processes that reduce stress and improve exam outcomes.
Note: This program meets the eligibility criteria for continuing education under ACFCS and is eligible for 1 credit.