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Self-Regulatory Organizations require broker-dealers to conduct independent testing of their AML Compliance Programs, and Quadrant can provide the required independent testing. We perform a detailed review to test conformity with AML requirements applicable to your firm, including the requirements of FINRA, NFA, CFTC, the SEC, Bank Secrecy Act (BSA) and USA Patriot Act of 2001, Financial Crimes Enforcement Network (FinCEN), and the Office of Foreign Assets Control (OFAC). 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, NFA, CFTC, and the SEC.

How Can We Help?

Get in touch with us to learn how our team of experienced compliance & accounting professionals, and former SEC and FINRA regulators, can ensure you reach your goals.

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