Kien Kien Solutions

Kien by Kien Solutions

AI-assisted AML independent testing for broker-dealers.

Kien organizes the FINRA Rule 3310 independent test of a broker-dealer AML program. A credentialed auditor reviews the evidence and signs the report.

abdullah@kiensolutions.com

Three steps

How it works

The software keeps the file in order. The auditor is the one who decides.

  1. 01

    Open the engagement

    A credentialed auditor opens one independent test and invites the broker-dealer. There is no public sign-up.

  2. 02

    Collect the program file

    The firm answers a short applicability questionnaire and uploads the documents the checklist requests. If a file needs to be replaced, the note stays at the document level: unreadable, wrong period, wrong document, or missing pages.

  3. 03

    Review and sign

    The auditor reviews the file. A finding is accepted only with a document and a page. Kien can prepare an unsigned draft. The auditor signs the report.

For this test

Benefits

  • Scoped to Rule 3310

    The engagement is the independent AML test for a broker-dealer, not a general file room.

  • A checklist the firm can finish

    Requests, applicability questions, and uploads stay in one list, including what is still open.

  • Findings stay with the auditor

    The client view shows intake status. It does not show audit findings.

  • A person signs the report

    The software does not approve a finding or mark a report signed. That stays with the credentialed auditor.

Contact

Write to Kien Solutions

For an independent AML test, email Abdullah.