FINRA: AML—Compliance: Suspicious Activity Surveillance—Part 2

Overview

This course is the second in a two-part anti-money laundering series for compliance staff. The case studies in this course demonstrate monitoring techniques to prepare broker-dealer compliance staff to identify, investigate, and report suspicious activity in customer accounts. It also includes practice on how to write an effective suspicious activity report (SAR) narrative.

Learning Objectives

Students who successfully complete this course will be able to:

  • apply techniques to monitor for suspicious activity as required under the Bank Secrecy Act
  • understand when and how to file a Suspicious Activity Report (SAR)
  • prepare a sufficient SAR

Designed for

Retail

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