What to gather before an AML audit scoping call
A short preparation list so scoping conversations produce a realistic sample plan and fee range on the first pass.
Scoping calls stall when participants arrive with only a desire for “an AML audit” and no map of the business. A small document set changes the conversation.
Bring these six items
- Licence list and entity chart
- Product and corridor inventory
- Latest enterprise-wide risk assessment summary
- Prior examination themes (even informal notes)
- Approximate populations for KYC files and monitoring alerts
- Preferred fieldwork window and known blackout dates
Optional but powerful
Anonymised examples of a strong file and a weak file help us calibrate language in the proposal. So does clarity on whether the board expects attendance at the closing session.
After the call
Expect a written scope note and information request. If sample access will take months to arrange, say so early — it is kinder than signing an engagement letter the operations team cannot support.
Ready to talk? Use the contact form and attach a short product map if you have one.