Independent Compliance, AML & Governance Assurance
At ABM Global Compliance, we provide risk-based internal audit and assurance services to help capital markets firms in Ireland assess key areas of their regulatory and compliance environment. Our practical, risk-based approach supports sustainable growth. This supports long-term regulatory confidence across the organisation.
Identifying Control Gaps, Strengthening Oversight & Supporting Regulatory Readiness
Capital markets firms need effective assurance arrangements to determine whether regulatory frameworks and internal controls are operating as intended. At ABM Global Compliance, we provide risk-based internal audit and assurance services to help capital markets firms in Ireland assess key areas of their regulatory and compliance environment. Our practical, risk-based approach supports sustainable growth.
Independent reviews can help identify control weaknesses, compliance gaps and governance issues before they develop into more significant regulatory concerns. Independent assurance helps capital markets firms identify weaknesses, evaluate controls and demonstrate effective regulatory oversight. Our practical, risk-based approach supports sustainable growth. This supports long-term regulatory confidence across the organisation.
Our Internal Audit & Assurance Services
At ABM Global Compliance, we provide risk-based internal audit and assurance services to help capital markets firms in Ireland assess key areas of their regulatory and compliance environment. Our practical, risk-based approach supports sustainable growth.
AML Compliance Audit
Reviews can consider AML/CFT governance, risk assessments, and record keeping and management oversight.
Governance & Risk Management Audit
Effective governance requires clearly defined responsibilities, appropriate oversight and structured risk management.
Compliance Gap Assessment
ABM identifies areas where policies, procedures, controls, governance or documentation may require enhancement.
Independent Internal Compliance Reviews
Targeted independent reviews of specific regulatory or compliance areas where firms require additional assurance.
Changes to the business
This helps direct assurance activity toward areas where independent review provides the greatest value.
Control Design & Effectiveness
This helps firms identify both documentation gaps and weaknesses in the wider control environment.
Ready to Strengthen Your Compliance?
Why Choose ABM in Ireland
Independent Regulatory Perspective
We provide objective assessments focused on regulatory risk and control effectiveness.
Capital Markets Expertise
Our reviews reflect the compliance challenges associated with capital markets activities.
Ireland & EU Regulatory Knowledge
Assurance work is considered within the relevant Irish and wider European regulatory environment.
Strengthen Independent Assurance in Ireland
Independent assurance helps capital markets firms identify weaknesses, evaluate controls and demonstrate effective regulatory oversight. Independent reviews can help identify control weaknesses, compliance gaps and governance issues before they develop into more significant regulatory concerns. Our practical, risk-based approach supports sustainable growth.
Compliance advisory, regulatory reporting, and financial crime frameworks for banks and credit institutions.
MiFID II, market abuse, and transaction reporting support for capital markets participants.
Authorisation, governance, and ongoing compliance support built around your investment firm obligations.
Practical compliance frameworks for asset managers, AIFMs, and UCITS management companies alike.
Licensing, safeguarding, and operational compliance support for payment institutions across EU markets.
EMI authorisation, safeguarding arrangements, and ongoing regulatory reporting support across the EU.
Regulatory guidance that keeps innovative business models compliant from launch through scale.
MiCA, DORA, and digital asset compliance for Europe’s next generation of finance.
Trusted and Loved by Our Clients Across the Europe
Businesses across Europe trust ABM to guide their licensing, strengthen their frameworks, and keep their compliance on track. Here is what founders, compliance officers, and executives say about working with our team.
Years Of Expertise
Trusted Expert Guidance, Just One Message Away
Tell us about your business and regulatory needs. One of our compliance specialists will respond within one working day with clear, practical next steps.
- Unit 6, Trinity Court, Fonthill Business Park, Clondalkin, Dublin 22, D22 YE30, Ireland
Book Your Consultation
A confidential conversation about your licensing plans, compliance challenges, or regulatory questions, with no obligation attached.
Your Questions Answered
Why do firms need independent reviews?
Because frameworks drift. Independent assessment finds the gaps daily operations normalise, gives boards genuine assurance, and fixes issues before supervisors find them expensively.
How often should audits be conducted?
Risk-based, but a sensible rhythm is an annual review of core compliance and AML arrangements, with deeper reviews after significant change, growth, or findings.
What does an AML audit cover?
Risk assessment quality, policies against practice, due diligence files, monitoring calibration, reporting arrangements, training, and governance oversight, tested through sampling rather than document review alone.
Are your reviews truly independent?
Yes. Assurance work is delivered separately from any framework we helped build, with findings reported candidly to management and boards regardless of comfort.
What happens after the review?
You receive prioritised, practical findings with clear remediation guidance, and we can support the remediation itself, tracked to closure so improvement actually happens.