Audit engagement

Customer Due Diligence Audit

File-based testing of KYC thresholds, escalation paths, and agent or branch application of stated customer due diligence rules.

Identity documents and a tablet used during a customer review

Who this is for

Risk and compliance teams who suspect stated KYC thresholds differ from how agents or partners apply them in practice.

What you receive

Sample-backed findings on threshold breaches, incomplete files, and escalation gaps, with remedial file remediation guidance.

Duration: 3–5 weeks
Delivery: On-site sampling recommended for branch or agent networks
Pricing basis: Based on sample size and number of locations
Next step: Confirm population and sample period

How sampling works

We agree a population (new customers, high-risk refreshes, or agent-originated files) and draw a risk-weighted sample. Each file is scored against your stated thresholds and escalation rules.

Included

Population definition and sample plan
File scoring worksheets retained for your records
Findings on incomplete evidence and missed escalations
Remediation guidance for re-file campaigns

Excluded

Screening tool configuration
Investigations of individual customers beyond the sample
Ongoing KYC operations staffing

Request an audit scoping call