FINRA: AML—Operations Staff: Understanding Your Compliance Obligations

Overview

In this course, scenarios highlight risks operations staff face when handling unusual account activity and expediting the account-opening process.

Learning Objectives

Students who successfully complete this course will be able to:

  • explain why broker-dealers have anti-money laundering compliance programs
  • describe techniques for identifying and verifying the identity of customers and beneficial owners of legal entities
  • communicate the importance of ongoing customer due diligence
  • recognize and escalate “red flags” that may signal potential money laundering or other suspicious activity

Designed for

Operations

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