AML Audit for Broker Dealer Compliance
Budget: $1,500 – $3,000 USD
Small Broker Dealer that qualifies for the 2-year audit exception needs two complete audits to satisfy FINRA compliance requirements. The audits should cover the periods from January 1, 2022, to June 30, 2023, and from July 1, 2023, to June 30, 2024.
Requirements:
- Comprehensive auditing of the specified periods
- Strict adherence to FINRA regulations
- Assurance of compliance for the business
Ideal Skills and Experience:
- Experience in auditing broker-dealers
- Deep understanding of FINRA regulations
- Proven track record of assisting businesses with compliance audits
Requirements:
- Comprehensive auditing of the specified periods
- Strict adherence to FINRA regulations
- Assurance of compliance for the business
Ideal Skills and Experience:
- Experience in auditing broker-dealers
- Deep understanding of FINRA regulations
- Proven track record of assisting businesses with compliance audits