You will get an AML Program Gap Assessment and Remediation Roadmap
Rising Talent
Project details
About Your Expert: April, owner of Due North Executive Advisory, brings 25+ years in financial services compliance and risk management, with senior roles at major investment banks, consulting firms, and regulatory organizations. Her experience spans enforcement investigations to financial crimes operations across wealth management, banking, and digital platforms. With an MSL in Financial Compliance from USC and former NASD/CAMS credentials, she combines regulatory expertise with practical implementation.
Overview: The Due North team will assess your AML/BSA program structure, policies, and procedures to identify compliance gaps and enhancement opportunities, providing clear understanding of your posture plus a prioritized strengthening roadmap.
Process: Discovery, document review, gap analysis, and actionable roadmap delivery:
-Review of policies, procedures, SARs, KYC protocols
-Analysis of compliance gaps across AML, BSA, risk areas
-Delivery of clear, actionable roadmap
Deliverables: ✔ Prioritized Remediation Roadmap ✔ Gap tracking spreadsheet
Overview: The Due North team will assess your AML/BSA program structure, policies, and procedures to identify compliance gaps and enhancement opportunities, providing clear understanding of your posture plus a prioritized strengthening roadmap.
Process: Discovery, document review, gap analysis, and actionable roadmap delivery:
-Review of policies, procedures, SARs, KYC protocols
-Analysis of compliance gaps across AML, BSA, risk areas
-Delivery of clear, actionable roadmap
Deliverables: ✔ Prioritized Remediation Roadmap ✔ Gap tracking spreadsheet
Project Type
Business Consulting, Training & DevelopmentWhat's included
| Service Tiers |
Starter
$2,500
|
Standard
$5,500
|
Advanced
$7,500
|
|---|---|---|---|
| Delivery Time | 10 days | 21 days | 21 days |
Number of Revisions | 1 | 2 | 4 |
Optional add-ons
You can add these on the next page.
Fast Delivery
+$250 - $500
Executive Report
(+ 4 Days)
+$800About April
AML & Financial Crimes Risk Expert and Strategist
Baltimore, United States - 12:34 am local time
I am a seasoned financial crimes risk management expert with over two decades of leadership experience across broker-dealers, banks, digital platforms, mutual funds, insurance entities, and money services enterprises. My career spans from registered representative to executive leadership roles at Morgan Stanley, where I led a complex organization of more than 120 professionals managing comprehensive compliance programs across multiple business lines.
Core Expertise & Background
My expertise encompasses the full spectrum of financial crimes risk management, including KYC procedures, AML compliance, OFAC sanctions, negative news screening, and suspicious activity monitoring. I have successfully implemented compliance programs managing risk exposure for organizations with 14+ million digital accounts and led remediation projects across the United States, Canada, and the European Union.
My unique background combines:
-Frontline sales experience as a registered representative, providing deep understanding of client interactions and business operations
-Investigative expertise from FINRA enforcement, conducting complex securities violations investigations
-Executive leadership experience managing large, multi-tiered compliance organizations
-Global regulatory experience across multiple jurisdictions and financial institution types
-Specialized expertise in digital platform compliance and technology-driven risk management solution
I have directed engagements with internal audits, collaborated directly with securities and banking regulators, and successfully managed regulatory examinations and enforcement responses. My approach combines strategic oversight with practical implementation, ensuring regulatory compliance while optimizing operational efficiency.
Services I Provide Through My Firm, Due North Executive Advisory:
Staff Augmentation
Experienced compliance and risk management professionals to supplement your team during peak periods, special projects, or regulatory initiatives. My embedded approach ensures seamless integration with existing operations while bringing deep expertise in financial crimes risk management.
Regulatory Support
Specialized support for regulatory examinations, consent order implementation, and compliance remediation initiatives. I help institutions navigate complex regulatory requirements and develop comprehensive response strategies that satisfy regulatory expectations while minimizing business disruption.
Gap Assessment & Testing
Comprehensive assessments of existing compliance programs to identify weaknesses, validate controls effectiveness, and ensure regulatory alignment. My independent testing methodology provides objective evaluation of AML, sanctions, and financial crimes risk management programs.
Development & Design
Strategic development of comprehensive compliance program infrastructure including policies, procedures, governance structures, and risk management frameworks. I create scalable, practical solutions tailored to your institution's size, complexity, and risk profile.
Steps for completing your project
After purchasing the project, send requirements so April can start the project.
Delivery time starts when April receives requirements from you.
April works on your project following the steps below.
Revisions may occur after the delivery date.
Discovery & Kickoff: Program Understanding & Scope Definition
Receive documents and conduct Initial consultation to understand your institution's structure, current compliance framework, regulatory environment, and specific assessment objectives.
Document Review & Analysis: Comprehensive Policy & Procedure Evaluation
Review of your AML/BSA policies, procedures, risk assessments, and compliance documentation against regulatory requirements and industry best practices to identify gaps and deficiencies.