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AML Investigations, Compliance and Advisory

With the recent resurgence in regulatory enforcement actions and media focus on anti-money laundering (AML) & sanctions issues, financial institutions are under tremendous pressure to monitor and identify suspected illegal activity. As a result, many organizations are re-evaluating their AML compliance programs.

Navigant’s AML team include compliance officers, attorneys, bankers, former regulators, prosecutors, law enforcement officers, accountants and information technology (“IT”) professionals. Our professionals bring to bear critical expertise and resources to help clients identify, assess and manage the risks associated with money laundering and terrorist financing.

Anti-Money Laundering, Bank Secrecy Act & Sanctions Services 

  • Compliance Program and Policy and Procedure Reviews
  • Transaction Reviews
  • Customer Reviews
  • Investigative and Operational Services 
  • Technological Services 
  • Training and Quality Assurance

Click here to learn more about Navigant's AML related services.

  • The Business of Being Fuzzy

    Matching Logic in Name Screening

  • SEC and FINRA Crowdfunding Guidance Review - Client Alert

  • New Payment Products & Systems - White Paper

    Mitigating the Risks of Finance’s New “Wild West”

  • Manage Risks From Money Laundering and Terrorist Financing

 

CASE STUDY:

Transaction Monitoring Look-back

Navigant conducted a transaction look-back for a global bank that encompassed more than 20 million transactions occurring over a two-year period. We collaborated with the bank and its regulators to identify, develop, and apply money laundering and risk assessments to more than 10 million of those transactions. These assessed transactions were grouped into Navigant’s proprietary case management system, which provided a virtual and real-time workspace for the look-back analysts and the bank. Navigant also developed customized investigative protocols to expedite case review and quality assurance and prepared findings for cases requiring Suspicious Activity Reports (SARs) filings. Consequently, the 20-million-transaction, two-year look-back was reduced to just 5,000 investigative cases. The SAR filings and other dispositions related to those cases were completed in just a few months.

 

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