Dealing with Compliance Visits

This practical session is designed to equip organisations, MLROs, Compliance Officers, Directors, and senior management with the knowledge and tools required to effectively prepare for and manage supervisory visits by the Financial Intelligence Analysis Unit (FIAU) and the Malta Financial Services Authority (MFSA).

Supervisory inspections are high-impact events that test not only technical compliance but also governance, culture, and operational effectiveness. Proper preparation and structured management of the visit can significantly reduce regulatory risk and potential findings.

Session Objectives

Participants will gain practical guidance on:

• Preparing effectively before a regulatory visit
• Ensuring robust data governance and document readiness
• Managing internal coordination during the inspection
• Responding to regulatory queries confidently and consistently
• Understanding common findings and supervisory expectations
• Engaging the Board appropriately throughout the process

The Speaker

Ariane Azzopardi is a Director within the Quality and Risk Management function. She has over fifteen years’ experience in this field, and is the delegate of the Risk Management Partner at KPMG in Malta. She is involved in the implementation and monitoring compliance with quality and risk management policies and procedures in KPMG in Malta also handling compliance and risk management queries, including those related to the Prevention of Money Laundering and Financing of Terrorism (PMLFT) and ethics and independence. She delivers sessions on PMLFT at the KPMG roundtable and also at various other seminars and conferences.

Ariane is the chair of the PMLFT sub-committee at the Malta Institute of Accountants and a committee member of the PMLFT sub-committee at the Institute of Financial Services Practitioners.