Audit Support
You Can Rely On
ProSpera provides end-to-end audit support services, assisting organizations with documentation, evidence preparation, control validation, and regulator engagement to ensure smooth, timely, and successful audits.
Get in touch Get in touchAt ProSpera Compliance Consultancy, our Audit Services are designed to provide independent, accurate, and regulator-aligned assessments of your compliance framework. We help businesses identify weaknesses, enhance operational controls, and ensure full adherence to UAE AML/CFT and PF regulatory requirements. Our approach combines in-depth industry expertise with internationally accepted standards, ensuring that your organization remains audit-ready, compliant, and resilient.
A comprehensive, end-to-end examination of your AML/CFT framework covering regulatory obligations under the Ministry of Economy, ADGM, DIFC, VARA, and UAE Federal AML laws.
- Review of AML/CFT policies, procedures, and manuals
- Evaluation of AML governance and reporting structures
- Testing of internal controls and risk mitigation measures
- Assessment of STR/SAR reporting processes
- Review of Risk-Based Approach (RBA) implementation
- Examination of staff training and awareness frameworks
The audit provides an objective view of your compliance posture and identifies actionable improvement areas.
Our specialists assess customer identification, verification, and risk classification systems to ensure compliance and risk mitigation.
- Client onboarding procedures
- Beneficial ownership identification
- Enhanced Due Diligence (EDD) for high-risk clients
- Source of funds and source of wealth verification
- Ongoing due diligence and periodic reviews
- Risk scoring methodology and documentation
We evaluate the effectiveness of sanctions screening tools to ensure alignment with UAE Cabinet Resolutions, UNSC lists, ADGM, DIFC, MOE, and VARA requirements.
- Screening logic and configuration
- Alert and hit management workflows
- List update frequency and accuracy
- False positive / false negative testing
- Effectiveness of onboarding and ongoing screening
- Risk-based internal audit planning
- Audit of AML/CFT processes and governance
- Review of escalation mechanisms and controls
- Corrective action and remediation tracking
- Testing AML/CFT controls
- Transaction monitoring review
- KYC file completeness verification
- Regulatory reporting quality assessment
- Evaluation of AML/CFT/PF training
- Review of AML/CFT policies and procedures
- Compliance structure and independence review
- Monitoring and reporting effectiveness
- Compliance staff competency and training
- MLRO and CCO function assessment
- Governance and accountability review
- AML policies and procedures assessment
- CDD/KYC and screening systems evaluation
- Training and awareness gap analysis
We deliver a detailed report including risk grading, root cause analysis, and a corrective action roadmap.
- Thematic AML reviews
- Transaction-based audits
- Virtual asset (VARA-aligned) audits
- Real Estate and DPMS AML audits
- Pre-inspection readiness reviews
- Follow-up audit reports
Why Choose ProSpera Compliance Consultancy?
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01.Strengthen governance
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02.Reduce risk
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03.Enhance operational integrity
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04.Build a culture of compliance
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05.Achieve sustainable growth
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