Compliance Audits
AMLGS have worked with many gambling operators covering inspections and audits, and have carried out independent reviews in line with regulatory standards. Many of our experts have either carried out inspections in previous roles or have been on the receiving end of inspections so our knowledge in this field is quite unique.
Much of our work has been prior to inspection and dealing with preparations and in other cases we have conducted audits/reviews post inspection and in some of these post inspection engagements it has been after an operator has received enforcement action or areas for improvement.
Our Compliance Health Check which has been designed by members of Law Enforcement, Regulators and Compliance Professionals gives operators a full review and gap analysis to identify whether they are meeting legislation, regulatory obligations and guidance.
We deliver the Health Check to give operators a comprehensive understanding of any gaps and the steps needed to take to ensure they meet their obligations.Partner with AMLGS for proven compliance strategies and expert support. Contact us today to learn how we can help your business achieve and maintain regulatory excellence.
Stage 1 - Review
We review existing policies in place at the operator
We review all documents, policies, procedures, risk assessments and training material.
We conduct a gap analysis From legislation, guidance, frameworks and trade association updates and guidance.
Stage 2 - Organisational Engagement
We interview employees across the business to understand their level of knowledge on AML and Social Responsibility.
As the regulator conducts in depth interviews with specific employees but also randomly selected staff, we replicate these interviews to identify where there may be gaps.
We use the questions currently used by the regulator and look for the same lapses in knowledge.
Stage 3 - Gap Analysis & Remedies
We provide a detailed summary of the health check.
Using a traffic light system to highlight the areas that require immediate attention.
We will work with you to fix and improve any areas that are identified as need of improvement.
Outcome:
On completion of the independent review you will receive a number of outcomes to support and ensure that your business is better prepared to face any regulatory evaluations, assessments or reviews with confidence.
Policy and Procedures in line with regulatory expectations
Increased employee compliance knowledge
Detailed gap analysis report