AML and KYC control review
Targeted testing of customer due diligence files, screening hits, and escalation paths for remittance and payment fintechs.
Engagement detailsConnect Automator
Audits written for the fintech floor, not the brochure.
We examine how payment firms, digital lenders, and other supervised fintechs in Taiwan actually run KYC walkthroughs, exception queues, and board reporting — then deliver findings your compliance lead can schedule against.
Request a scoping call
Flagship engagement
Licensing readiness audit
Our primary engagement for fintechs preparing a new licence filing or a material change review. We map control design to the obligations you must evidence — and test whether those controls hold under real transaction volumes.
What you receive
A scoped control inventory, sample-tested findings, a graded observation log, and a management letter timed for your board pack. Fieldwork usually runs three to six weeks depending on product lines and data access.
We do not sell software, dashboards, or ongoing monitoring subscriptions. The deliverable is an independent audit file your counsel and compliance officers can cite.
Read the full scopeRelated engagements
Other audits we run beside readiness work
Each engagement stands alone. We only recommend a second review when the first finding set points to a distinct control family.
Operational resilience walkthrough
Scenario-based review of incident playbooks, vendor fallbacks, and payment continuity for supervised fintech operators.
Engagement details
Board reporting assurance
Independent check that risk and compliance packs reaching the board match underlying registers and exception logs.
Engagement detailsFrom recent fieldwork
What compliance leads say after the closing meeting
“They spent two full days in our Tainan ops room walking the remittance exception queue before writing a single finding. The observation on dual-control gaps was uncomfortable — and accurate.”Mei-Ling Chen · Head of Compliance, regional remittance firm
“We had hoped for a shorter timeline. Sample selection took longer than estimated once our ledger extracts arrived late. The final management letter still landed before our FSC pre-filing dry run.”Anders Holt · Founder, consumer lending pilot
How an engagement unfolds
From scoping call to signed management letter
01
Scoping
We confirm licence type, product lines, and the control families in scope. You receive a written outline and fee range before fieldwork.
02
Walkthroughs
On-site or hybrid sessions with operations, compliance, and finance. We document who approves what — and where evidence actually lives.
03
Sample testing
Transaction samples, alert dispositions, and board pack extracts are tested against the control narrative you claimed.
04
Closing
Draft findings, management responses, and a final letter graded for urgency. We stay available for clarification during your filing window.
Field notes
Guides from recent audit seasons
Drawing KYC samples that survive a supervisory question
How Connect Automator designs customer file samples during audits for fintech — population frames, stratification, and what to do when extracts arrive late.
What belongs in a licensing evidence binder
A practical checklist for fintech teams assembling evidence ahead of a Taiwan licence filing — policies, samples, and board minutes that auditors actually open.
Reading an exception queue without rewriting the procedure
Field notes on observing remittance and payment exception queues during fintech audits — what auditors watch for beyond the written SOP.
Planning a licence filing or annual control review?
Tell us your product lines, supervision status, and preferred fieldwork window. We reply with a scoped outline — not a generic brochure.
Contact the practice