Investment

AML Compliance for Investment Organisations

Protect your investment firm and stay up-to-date with the latest compliance regulations for AML.

We can help investment firms comply with AML requirements

Money laundering through investments is becoming increasingly more common and complex so it is vital investment firms have the right AML procedures in place.

Our platform is the only customer verification solution that also offers Sanctions and PEP screening and ongoing monitoring to ensure your investment firm always remains compliant. The solution is also available via a fully integrated app, enabling AML checks to be completed remotely.

Just a few areas we can help you with

Identifying your customers

Remain compliant in the simplest and most cost-effective way with electronic verification and automated enhanced due diligence.

Customer onboarding

Integrate with your current system or simply use our platform through a web browser to complete all your AML and KYC checks in one place.

Do your due diligence

Continuously monitor your active client base for PEP and Sanction status changes with our unique automated enhanced due diligence facility which ensures you always remain compliant while saving you time and money.

Monitor your clients

Powered by Dow Jones, our ongoing monitoring feature reviews PEP and Sanction watchlists globally, alerting you to any status changes and keeping you compliant at all times.

Prevent Fraud

Our range of anti-fraud products have been designed to provide comprehensive solutions for customers across all industries and can be tailored to your specific requirements.

Be audit ready

By using our batch upload feature, ongoing monitoring and automated audit notes you can ensure your processes are watertight and that you are always audit-ready.
WHO WE WORK WITH

What kind of investment firms do we work with?

  • Stocks & Shares
  • Bonds
  • ISAs
  • Options
  • Annuities
  • Pensions
  • Commodities
  • Property
HEAR IT FROM OUR CUSTOMERS

There’s a reason we have a 98% client retention rate

Church House Investment Management
SmartSearch provided a solution that took away the administrative and timely burden of requiring potential clients to provide documentary evidence. Not only did it provide easy identity verification for individuals, but also a thorough breakdown of all necessary evidence for identifying companies, such as annual reports, certificate of incorporation and the AML of all influential stakeholders and directors. This far outshone the level of service we had previously received from the competitor. Jonathan Howland Compliance Officer
Read case study
Thorntons Investments
We would not hesitate to recommend SmartSearch to anybody who wants to improve and enhance their AML compliance procedures. Karen Hogan Compliance and Risk Administrator
Read case study

You’re in good company

See it in action

Let one of our highly-trained sales team demonstrate the multi-award winning SmartSearch AML product

Get a free demo
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