Anti-Money Laundering Compliance Test

Quadrant Audit Group LLC specializes in conducting anti-money laundering tests that will assist you in detecting and correcting weaknesses and deficiencies in your Anti-Money Laundering Compliance Program.

FINRA Rule 3310 requires Broker-Dealers to conduct annual independent testing of their AML Compliance Programs. Quadrant can provide independent testing of your firm’s AML Compliance Program to ensure you are compliant with this requirement. We perform a detailed review to test conformity with AML requirements applicable to your firm including the requirements of FINRA, the SEC, Bank Secrecy Act and USA Patriot Act of 2001, Financial Crimes Enforcement Network, and the Office of Foreign Assets Control. The test will determine if your firm has adequately established and implemented AML Compliance Program that addresses applicable regulatory requirements. At the conclusion of the test, we will provide an AML Testing Report detailing the reviews conducted, findings, and recommendations to enhance your AML Compliance Program.

All AML tests performed by Quadrant Audit Group LLC are conducted by one or more Certified Anti-Money Laundering Specialists (CAMS). The testing services we provide meet the stringent regulatory requirements of FINRA and the SEC.

Anti-Money Laundering