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ML/TF Risk Assessment Data Collection Support

Bring together the records you need to explain your business’s money laundering and terrorist financing risks.

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    ML TF Risk Assessment Data Collection

    About Our Data Collection Service

    A risk assessment needs information from across the business. Customer numbers may sit with operations, transaction figures with finance and training records with compliance.

    Vertex Compliance helps UAE businesses collect and organise information for ML/TF risk assessments and related regulatory questionnaires. We work from the assessment requirements or the request you have received, then identify the records needed to answer it.

    We help check the information and flag anything that needs clarification. Your team receives a working file showing the source of the figures, supporting documents and questions still to resolve.

    What Our ML/TF Data Collection Service Includes

    Get help collecting, checking and organising the information your ML/TF risk assessment needs.

    1. Business and Customer Information

    We start with the details that explain what your business does and whom it serves. These may include licence information, business activities, branches, customer numbers and ownership records. Where a request asks for customer categories or geographic exposure, we help organise the available data into those groups. We check how figures were produced, including whether customer counts refer to active customers or all records.

    2. Transactions and Geographic Exposure

    We gather the transaction figures required for the assessment period. So depending on the request, this may involve transaction values and volumes, payment methods, cross-border business or case activity. We confirm each report’s period, currency and categories. If totals differ between records, we raise the difference for review. We record gaps and discuss what can be obtained. Estimates are identified rather than presented as confirmed figures.

    3. Controls and Supporting Records

    Questions about AML controls need supporting records as well as answers. We help gather relevant policies, screening records, training logs, review reports and evidence of follow-up actions. Each document is linked to the question or assessment area it supports. We flag cases where an answer describes a process but the records do not show whether it was followed. Your compliance team can then review the response, clarify the position and decide what needs correcting before sign-off.

    Our Approach

    From the first data request to the final review, we help your team gather, check and organise the records needed.

    1
    Review the Request

    We read the questionnaire or assessment requirements with you. We confirm which entity, activities and reporting period are included, along with any instructions or stated deadline.

    2
    Map the Records

    We identify where the information sits and who can provide it. Your team receives a list of requests, with definitions to help avoid different interpretations.

    3
    Gather and Check

    We organise the records received and check for missing fields, conflicting totals and unsupported answers. Queries go back to the relevant person for clarification.

    4
    Prepare for Sign-Off

    We bring the responses and evidence together for review. Outstanding issues are listed separately so your authorised team knows what remains unresolved before approving or submitting the information.

    Who We Support

    Real Estate Agents and Brokers
    Dealers in Precious Metals and Stones
    Accounting, Audit and Company Service Businesses
    Compliance Teams Preparing ML/TF Assessment Data

    The work is based on your business activities, supervising authority and the specific assessment or information request.

    Why Choose Vertex Compliance

    Less Chasing Across Teams

    Give each team a clear request so people know what to provide and which period it should relate to.

    Figures You Can Trace

    Keep a record of where each figure came from, including the report, date range and any assumptions used.

    Gaps Raised Before Sign-Off

    Find missing records and inconsistent answers while there is still an opportunity to investigate and correct them.

    An Organised Handover

    Receive the responses, source records and open queries together, making the final review easier for your compliance team.

    Meet the Experts

    Sarah Khan
    Vasantha Madan Mohan

    Managing Director

    Sarah Khan
    Sridhar Rajam

    Associate Partner

    Sarah Khan
    Arjun Mohan

    Director – Sales & Marketing

    Frequently Asked Questions

    No. Data collection brings together the information used in an assessment. Analysing the risks, evaluating controls and assigning ratings are separate tasks unless included in the agreed scope.
    Yes. Share the actual request and instructions so we can confirm what support is needed. Your authorised team reviews and approves the final responses.
    We identify the gaps and help your team find the relevant records. Where information cannot be confirmed, we flag that limitation rather than inventing an answer.
    Yes. We review the files and agree on a format to collect the information. We also discuss with your team of any changes required to make the data usable.
    We do not automatically include submission. We agree on who will submit it or authorisation needed before work starts.
    No. A questionnaire records information about your business and its controls. It does not replace a risk assessment, compliance review or work needed to address weaknesses.