Leopold von Gauss Limited offers a comprehensive suite of services tailored to assist clients in navigating the intricate world of anti-money laundering (AML) compliance and regulatory requirements. With a focus on integrity, professionalism, and efficiency, our experienced team is dedicated to providing bespoke solutions to address the specific needs of each client.

Our services encompass:

• AML Program, Policies, and Procedures: We provide independent testing and assessment of existing AML programs, ensuring compliance with regulatory standards. Additionally, we assist clients in developing effective AML Policies and Procedures covering various areas such as Know Your Customer (KYC), Transaction Monitoring, AML Investigations, and Sanctions and Embargoes.
• Compliance Internal and External Audit: As the Third Line of Defense in a Compliance Program, independent audit is vital. Our firm aids clients in establishing or enhancing their Internal Audit process, or provides external audit services to evaluate the effectiveness of existing Compliance policies and programs.
• Know Your Customer (KYC) and Due Diligence: Our highly skilled team offers assistance with various aspects of KYC and Due Diligence, including Customer On-Boarding, Customer Risk Scoring, Enhanced Due Diligence (EDD), Investigation of beneficial ownership, and Integrity Due Diligence (IDD) for Trade Finance counterparties.
• AML Investigations: We conduct thorough transaction reviews and investigations to meet regulatory standards, drawing on the expertise of multi-lingual investigators with backgrounds in financial crimes, legal, and law enforcement sectors.
• Sanctions and Embargoes: Our firm assists clients in developing and implementing robust sanctions programs, including name screening and transaction filtering, to ensure compliance with regulatory requirements.
• Compliance Training: We offer specialized training tailored to the needs of different audiences, covering topics such as Client On-Boarding, Red Flags in transactions, OFAC Sanctions, and Anti-Bribery and Corruption.
• Look-back and Remediation: Our team conducts historical transaction reviews and assists with remediation of customer KYC files, ensuring compliance with regulatory standards. Depending on the nature and scale of remediations, engagements may be short-term or long-term.

At Leopold von Gauss Limited, we are committed to providing proactive, strategic, and effective solutions to help our clients navigate the ever-changing regulatory landscape with confidence and ease.