Deep-Dive Data Auditing
Are you ready for your DFS Part 504 Annual Certification?
Ensure your 504 compliance from the ground up. "Deep-Dive Auditing" for the following 504 (c) line items are available along with others as needed.
Consistent - No Excuse Due-Diligence
The bottom line is – we don’t check boxes. We ensure the solution you have in place can be reconciled and audited down to the packet that goes across the wire. As a heavily regulated enterprise, there is no flexibility to take a software vendors assurance that their product does what it says when it comes to deep level packet connections, security or even encryption across the wire. Understanding, building and auditing complex technical architectures and topologies is what we do. Contact us for more information and how we can work with your team to ensure a solution is in place to track, trend and analyze all enterprise objects related to your AML, security and data infrastructure. Consistent audit results along with peace of mind.
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Identification of all data sources that contain relevant data;
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Validation of the integrity, accuracy and quality of data to ensure that accurate and complete data flows through the Transaction Monitoring and Filtering Program
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Data extraction and loading processes to ensure a complete and accurate transfer of data from its source to automated monitoring and filtering systems, if automated systems are used
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Governance and management oversight, including policies and procedures governing changes to the Transaction Monitoring and Filtering Program to ensure that changes are defined, managed, controlled, reported, and audited
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Vendor selection process if a third party vendor is used to acquire, install, implement, or test the Transaction Monitoring and Filtering Program or any aspect of it
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Qualified personnel or outside consultant responsible for the design, planning, implementation, operation, testing, validation, and on-going analysis, of the Transaction Monitoring and Filtering Program, including automated systems if applicable, as well as case management, review and decision making with respect to generated alerts and potential filings and periodic training of all stakeholders with respect to the Transaction Monitoring and Filtering Program.
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