AML & client due diligence
In short: The FCA body that oversees how accountancy and legal professional bodies supervise their members for AML.
OPBAS does not supervise firms directly. It supervises the supervisors — bodies such as ICAEW, ACCA, AAT and CIOT — pushing for consistent standards in monitoring, risk assessment and enforcement.
Pressure from OPBAS is the main reason monitoring visits have become more evidence-driven, and why the UK has consulted on consolidating AML supervision into fewer bodies.
It explains why your body asks for more documentation each year, and why reform of AML supervision is on the agenda.
General information for UK practices, not legal, tax or regulatory advice. Rules change — check current GOV.UK guidance and your professional body before acting.
Start with the workflows that cause the most chasing, then bring leads, AML, proposals and clients into the same calm operating system.
Accounting firms run on deadlines: VAT returns, payroll, confirmation statements, accounts and Self Assessment. Recording every job as a task, with an owner and a date, is the simplest way to make sure nothing is missed.
HMRC and Companies House charge penalties for late filing. A task for every deadline, with an internal date before it, gives the team a buffer.
Recorded tasks mean work continues when someone is off sick, on leave or has left the firm.
Subtask checklists make every job follow the same steps and reviews, whoever does the work.
Filters by owner, status and deadline show at a glance what is late, what is due and who needs help.
Written and reviewed by Waqas Sagar ACA FCCA FMAAT, Chartered Accountant with 18+ years in practice. Founder and MD of Accotax, an ICAEW, ACCA and AAT regulated London practice that has served over 5,000 clients, and founder of Remindoo. Guidance is general; check current GOV.UK and professional body guidance for your firm.
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