AML & CEO Certifications:
ANNUAL ANTI-MONEY LAUNDERING (AML) INDEPENDENT TESTING
ANNUAL CERTIFICATION OF COMPLIANCE AND SUPERVISORY PROCESSES (CEO CERTS)
At Bedford and Main we strive to continually provide our clients with services that offer concrete value and meaningful feedback.
The FINRA required AML testing and CEO certification requirements go to the heart of understanding how efficiently your firm is running. They are perfect opportunities to get informed and objective outside feedback provided to senior management.
Our mission, as always, is to supplement your internal resources, allowing you to accomplish your critical goals. The decision to offer these lines of service was a logical extension of our growing business. It also allows us to keep in regular touch with some of our premier established clients.
The AML reviews call upon our 35+ years of industry knowledge, FINRA compliance expertise, financial services expert witness services, and our CAMS certification to provide reviews you can trust.
- The entire review is performed by a previous independent broker-dealer CEO, who is CAMS Certified.
- The AML Annual Test includes an AML oriented business analysis, allowing for a client customized risk-based review.
- An on-site visit and meeting with AML senior management are essential components of the review.
- Detailed findings reports provide meaningful insights; not a simple “check the box” review.
- Follow-up calls are encouraged to maximize the benefits.
- Reviews are timely, efficient, and thorough.