Make sure the MLRO can explain the framework
A key focus is whether the MLRO can clearly explain how the firm identifies AML risks, assesses them, and mitigates them in practice. The MLRO should be able to walk through this from one current view of policies, the firm-wide risk assessment, and training.
Brief everyone from one source of truth
Partners and fee earners should understand the firm's AML framework and their own role within it. Brief them from the same current materials so different people don't describe different processes — inconsistency drives further scrutiny.
Aim for clear, accurate, consistent
Responses should be clear, accurate, and consistent with each other and with the documents already submitted. Avoid speculation and over-disclosure; provide what is asked, accurately.
Make sure practice matches the documents
Interviews test whether what people say matches what's on the files and in the policies. Where there are gaps between documented procedures and practice, address them before the interview — not during it.
Reglo helps firms keep this evidence organised and audit-ready — humans approve every change. AI drafts and organises; your compliance team decides.
This guide is general information for compliance teams, not legal or regulatory advice. Always refer to the SRA's current guidance and take your own professional advice where needed.