Core Review Areas

• BSA/AML/CFT independent testing

• OFAC and sanctions program reviews

• Compliance program assessments

• BSA/AML risk assessment reviews

• CDD and EDD program reviews

• Beneficial ownership controls

• Suspicious activity monitoring processes

• High-risk customer and business reviews

• Policies and procedures

• Governance and oversight

• Internal controls

• Training program effectiveness

• Issue and remediation validation

• Targeted compliance reviews

• Regulatory readiness assessments

When Organizations Engage Auson

Organizations may engage Auson when they need to:

• Complete periodic independent testing

• Evaluate the effectiveness of an existing compliance program

• Prepare for regulatory examination

• Assess whether prior findings have been remediated

• Review a higher-risk business line or customer portfolio

• Evaluate governance or internal controls

• Determine whether policies and procedures align with actual practices

• Obtain an independent perspective before significant growth or change

• Respond to audit, examination, or management concerns

• Validate corrective action taken in response to previous findings

What Clients May Receive

Depending on the engagement, Auson may provide:

• Independent review reports

• Audit workpapers

• Scope and testing documentation

• Findings and observations

• Risk-rated recommendations

• Management action considerations

• Remediation validation results

• Program gap assessments

• Control effectiveness assessments

• Executive summaries

• Board or management presentations

• Follow-up review support

An Independent Approach Focused on Value

Independent review should do more than satisfy a requirement.

Auson approaches each engagement with the goal of helping leadership understand whether controls are designed appropriately, operating effectively, and aligned with the organization’s risk profile.

We provide clear findings, practical recommendations, and a structured view of where attention may be needed.

Need an Independent Perspective?

Whether you need full-scope independent testing, a targeted compliance review, or validation of prior remediation, Auson can help provide the independent perspective your organization needs.