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Financial Crimes

SOLUTION

2026 BSA/AML Requirements Are Coming for RIAs

Is your firm ready?

Take the Readiness Questionnaire
Book a 30-Minute Consultation

What’s Changing & Why It Matters

A Regulatory Shift with Operational Impact

Starting January 1, 2026, Registered Investment Advisors (RIAs) must comply with the Bank Secrecy Act (BSA) and Anti-Money Laundering (AML) regulations—introducing new demands on governance, monitoring, reporting and technology. SolomonEdwards helps RIAs implement and operationalize these changes.

Our RIA Impact Checklist
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Our Proven Compliance Framework

A scalable, risk-based, end-to-end approach built specifically for RIAs

Our 5-phase methodology addresses your unique risk profile, operational structure and client service model. From readiness assessments and policy development to transaction monitoring, SARs and ongoing advisory, we build scalable, exam-ready solutions that allow RIAs to meet evolving AML obligations with confidence and agility.

1

Discovery

Current BSA/AML program assessment

2

Compliance Strategy & Design

Findings report, risk-rated project plan, development of policies and procedures

3

Implementation & Integration

Tech selection, configuration and implementation

4

Training & Go-Live

Change management, staff training and enablement, mock audits

5

Ongoing Support

Exam preparation, regulatory response, staff augmentation, management and board reporting

Download our full methodology

Why Choose SolomonEdwards

EXPERTISE

Deep AML expertise across financial sectors

EXPERIENCE

RIA-specific experience with boutique & institutional firms

AUTOMATION

Practical automation strategies powered by Salesforce FSC

Learn more

SUPPORT

Integrated AI & data hygiene support for long-term success

TAILORED SERVICES FOR RIA BSA COMPLIANCE

How We Can Help

AML Readiness Assessments

Evaluate policies, processes and tech gaps

Salesforce Data Cloud Optimization

Improve reporting and automation for AML

AI Strategy for Compliance

Identify and implement use cases for enhanced due diligence and alerting

Data Hygiene Programs

Improve accuracy of KYC/CDD inputs and reporting

Ready to Take the First Step?

Let’s walk through your current state and design a right-sized roadmap to compliance. Whether you’re starting from scratch or optimizing an existing program, we’re here to help.

Take the RIA Readiness Assessment *Option 1*

Is Your Firm Ready for BSA/AML Compliance in 2026? Take this quick self-assessment to gauge your readiness and uncover areas of risk or opportunity.

BSA/AML Compliance Assessment

 Examples of internal controls include:

  • Onboarding processes that verify the identity of your customers
  • The ability to identify customers that pose a higher-than-normal risk for compliance with the Bank Secrecy Act.
  • The ability to monitor, detect, and report suspicious activity Identify in a timely manner. A process to conduct a formal BSA/AML risk assessment.
  • A repeatable and sustainable process to conduct ongoing transaction monitoring.
Book a 30-Minute Consultation

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