FINRA: AML—Compliance: Suspicious Activity Surveillance—Part 1

Overview

This course is the first course in a two-part anti-money laundering series for compliance staff. The activities in this course aim to help compliance professionals identify the types of red flags that could trigger a Suspicious Activity Report (SAR) filing, and illustrate ways to examine and respond to red flags.

Learning Objectives

Students who successfully complete this course will be able to:

  • understand suspicious activity reporting requirements of the Bank Secrecy Act
  • identify typical red flags

Designed for

Retail

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