Does ComplianceSuite cover both client acceptance and continuance?

Yes. The same workflow handles initial acceptance and the annual continuance evaluation, with the historical evidence pack carried forward and re-validated at each cycle.

Can we integrate with our engagement-management platform?

Yes. We offer REST API integration with the major engagement-management and audit-workflow platforms (Caseware, MyWorkpapers, Inflo, etc.) so client-acceptance status flows back into the engagement file.

How does the platform support FRC or PCAOB monitoring inspections?

Every acceptance decision, continuance evaluation and monitoring alert is captured in an immutable, partner-signed audit trail. When the inspector arrives, you export the full evidence pack for the engagements in scope in one click.

How does AML and KYC work for an audit firm under MLR-2017 and ISQM 1?

Risk-based KYC is performed on every prospective client at acceptance and refreshed at continuance, with EDD triggered automatically by jurisdiction, sector and PEP exposure. UBO discovery resolves the ownership chain and screens every controlling person — with the resulting evidence pack attached to the engagement file under ISQM 1 quality-management requirements.

How do you handle ongoing monitoring of accepted clients between annual cycles?

Continuous PEP, sanctions and adverse-media monitoring runs daily on the full client book; relevant changes (new sanction designation, adverse-media event, ownership change) trigger an in-platform alert to the engagement partner with the original acceptance evidence and the new event side-by-side.

Which audit-supervisor regimes are supported out of the box?

FRC (UK), PCAOB (US), IFIAR member regulators, ICAEW/ICAS quality reviews, and the EU Audit Regulation regime. Local AML supervisors (HMRC for UK accountants, ICAEW AML supervision, equivalent EU competent authorities) are supported via configurable policy packs.

How does AML and KYC work for an audit firm under MLR-2017 and ISQM 1?

Risk-based KYC is performed on every prospective client at acceptance and refreshed at continuance, with EDD triggered automatically by jurisdiction, sector and PEP exposure. UBO discovery resolves the ownership chain and screens every controlling person — with the resulting evidence pack attached to the engagement file under ISQM 1 quality-management requirements.

How do you handle ongoing monitoring of accepted clients between annual cycles?

Continuous PEP, sanctions and adverse-media monitoring runs daily on the full client book; relevant changes (new sanction designation, adverse-media event, ownership change) trigger an in-platform alert to the engagement partner with the original acceptance evidence and the new event side-by-side.

Does ComplianceSuite cover both client acceptance and continuance?

Yes. The same workflow handles initial acceptance and the annual continuance evaluation, with the historical evidence pack carried forward and re-validated at each cycle.

How does the platform support FRC or PCAOB monitoring inspections?

Every acceptance decision, continuance evaluation and monitoring alert is captured in an immutable, partner-signed audit trail. When the inspector arrives, you export the full evidence pack for the engagements in scope in one click.

Can we integrate with our engagement-management platform?

Yes. We offer REST API integration with the major engagement-management and audit-workflow platforms (Caseware, MyWorkpapers, Inflo, etc.) so client-acceptance status flows back into the engagement file.

Which audit-supervisor regimes are supported out of the box?

FRC (UK), PCAOB (US), IFIAR member regulators, ICAEW/ICAS quality reviews, and the EU Audit Regulation regime. Local AML supervisors (HMRC for UK accountants, ICAEW AML supervision, equivalent EU competent authorities) are supported via configurable policy packs.

All solutions

Audit Firms & Assurance

Standardise client-acceptance AML across every partner, every engagement.

Statutory auditors, internal-audit functions and assurance practices sit squarely inside the FATF DNFBP perimeter — and are increasingly inspected on the rigour of their AML programme. ComplianceSuite gives audit firms a defensible, partner-signed client-acceptance and ongoing-monitoring workflow that holds up to ICAEW, ACCA, IFIAR and PCAOB scrutiny.

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100%Engagement coverage

Why Audit Firms & Assurance teams choose ComplianceSuite

The compliance backbone for audit firms & assurance.

Statutory auditors and assurance practices sit inside the FATF DNFBP perimeter and are increasingly inspected on the rigour of their AML programme — by ICAEW, ACCA and the FRC in the UK, by the PCAOB in the US, and through IFIAR globally. ComplianceSuite.ai gives audit firms one platform to standardise client-acceptance, run beneficial-ownership and independence checks, and continuously monitor the audit-client portfolio between engagement cycles.

Every acceptance decision, continuance review and monitoring alert is captured in a partner-signed, immutable audit trail — turning a monitoring inspection from a multi-week evidence hunt into a one-click export.

The audit firms & assurance compliance reality

What's slowing your team down today.

The pressures we hear from audit firms & assurance compliance leaders every week.

Client acceptance and continuance evaluations applied consistently across every partner

Beneficial ownership and group-structure mapping for entity audit clients across 200+ registries

Ongoing AML monitoring of audit clients between annual engagement cycles

Why ComplianceSuite for Audit Firms & Assurance

A different operating model — not another point tool.

Four reasons audit firms & assurance teams consolidate onto ComplianceSuite.

One unified stack for audit firms & assurance

KYC, KYB, AML screening, monitoring and case management in a single workspace — replace 4–6 point tools.

Go live in days, not quarters

Industry policy pack pre-configured for audit firms & assurance workflows. Most teams reach production in 4–8 weeks.

Every regulator, every jurisdiction

190+ countries covered out of the box, with regulatory intelligence updated continuously by our team.

Cut manual review by 60–70%

Configurable rules, AI co-pilot and four-eyes workflows reduce analyst hours without sacrificing recall.

Outcomes

What changes once you go live.

Standardised client-acceptance evidence pack on 100% of engagements
Group ownership graph resolved automatically — no more partner-level registry chasing
Continuous adverse-media + sanctions monitoring of audit-client portfolio between cycles
Independence check built into client-acceptance — no parallel spreadsheet to maintain
Monitoring inspection cycle (ICAEW, FRC, PCAOB) preparation cut from weeks to hours

Capabilities

Built for audit firms & assurance workflows.

Configurable modules that map to the way your team actually works — not the way the software was originally designed.

Partner-signed client acceptance

Configurable acceptance workflow with conflicts, independence, AML and ESG checks captured under partner signature.

Group structure & UBO mapping

Resolve entity client structures across 200+ registries and persist the full ownership chain with each engagement.

Continuous portfolio monitoring

Sanctions, PEP and adverse-media monitoring of every audit client between annual cycles, with sub-24-hour alerting.

Inspection-ready evidence pack

One-click export of per-engagement evidence for FRC, PCAOB and ICAEW monitoring inspections.

Regulatory coverage

The rules we help you meet.

Our regulatory intelligence team tracks every change so your controls move with the regulator, not after them.

FATF Recommendations 22 & 23

Global

DNFBP-specific requirements for CDD, record-keeping and STR filing — directly applicable to statutory auditors.

ICAEW & ACCA AML Guidance

Recognised supervisory bodies' AML guidance under MLR-2017 covering acceptance, monitoring and reporting.

FRC Audit Quality Inspection

Quality inspections of the largest audit firms with explicit focus on client-acceptance and AML controls.

PCAOB AS 1110 / QC 1000

Quality control standards for registered audit firms including client-acceptance and ongoing evaluation.

IFIAR Inspection Findings

Global

Cross-border audit-regulator findings increasingly cite weak client-acceptance and AML evidence.

Trusted where it matters

See how leading audit firms & assurance teams operate on ComplianceSuite.

Used by audit firms from boutique to top-10 across the UK and EU.
ICAEW, ACCA, FRC and PCAOB-aligned policy and evidence packs.
Per-engagement audit trail with partner sign-off captured in-platform.
Native integration with engagement-management platforms via REST API.

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No slides — a working session with a audit firms & assurance specialist.

Modules in this solution

The product behind the workflow.

Full product map

Resolve UBO chains automatically

KYB & Business Verification

Onboard businesses with confidence

Explore KYB & Business Verification

Reduce false positives by 64%

AML Screening

PEP, sanctions & adverse media

Explore AML Screening

One inbox, full audit trail

Case Management

One workspace for every alert

Explore Case Management

Board-ready in one click

Reporting & Audit

Audit-ready in minutes, not weeks

Explore Reporting & Audit

FAQ

Frequently asked questions.

Answers tailored to audit firms & assurance — covering AML/KYC, audit readiness and regulatory expectations.

AML & KYC

How onboarding, screening and ongoing monitoring work in practice.

2 answers

Audit readiness

What evidence packs, supervisor inspections and internal audit look like.

2 answers

Regulatory expectations

Coverage of the regimes, filings and supervisor requirements that apply to you.

2 answers

A walkthrough tuned to Audit Firms & Assurance.

No slides — just your use case with a specialist who has shipped this for similar teams. Or take the checklist and benchmark your programme first.

Request a tailored demo Download the checklist

30-minute working session
Audit Firms & Assurance specialist on the call
Architecture review against your stack
No commitment, no slides