Why choose Strategi Compliance as your auditor

Under the AML / CFT Act your auditor MUST be independent, i.e. not involved in the development of your risk assessment, or the establishment, implementation, or maintenance of your programme.

The auditor must be appropriately qualified, with relevant skills, experience, and knowledge of the AML / CFT Act and Regulations. You must be able to explain to your supervisor how your auditor is appropriately qualified.

You could appoint a member of your staff to undertake the audit but this could be difficult as you need to prove that the person is competent to undertake the audit, plus the staff member needs to be adequately separated and not involved in carrying out your risk assessment and the programme.

So why Strategi Compliance?

  • We firmly believe that identifying non-compliance is only half the job. The other half is offering the right solution, recommending ways for fixing non-compliance and/or identifying areas for improvement in behaviour and practice. We view compliance with legislation and regulations as a business enabler and promoter of a win-win situation for all stakeholders. Strategi itself has been built on this philosophy.
  • Strategi has been in existence since 1999 and has the experience, resources and capability to provide you high quality AML / CFT audits.
  • Strategi Compliance has staff with Certified Anti-Money Laundering Specialist (CAMS) credentials to help clients meet the challenges posed by the dynamic AML / CFT environment. CAMS is recognised as the benchmark for AML / CFT certifications by regulatory agencies globally.
  • We will keep you up-to-date with your on-going AML / CFT compliance obligations through newsletters and guidance.
  • Strategi Compliance is independent as it was not involved in the establishment, implementation or maintenance of your risk assessment and programme.
  • It is supported by its sister company Strategi Institute Ltd. Strategi Institute developed the AML / CFT manual widely used by financial advisory businesses plus has developed a similar manual and AML / CFT online training modules for Phase Two entities such as accountants, lawyers and real estate agents .
  • Both Strategi Compliance and Strategi Institute are non-aligned. Both businesses work with most of the major banks, insurance companies, QFEs, networks, share brokers and fund managers. Exceptional care is taken to avoid potential conflicts of interest and full disclosure is provided.
  • Strategi's Compliance and Institute service offerings are well respected in the New Zealand financial advisory market, and Strategi Group is arguably the most experienced and competent organisation in New Zealand delivering specialised support services to financial advisers and the wider financial services industry.

Contact the Strategi Compliance AML team to book your audit.