FINRA: AML—Operations: Escalating Concerns of Unusual Activity & Responsibilities for Due Diligence

Overview

Scenarios demonstrate how an operations professional can recognize methods money launderers may use and when to escalate concerns related to unusual account activity.

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
  • identify “red flags” that may signal money laundering or other suspicious activity
  • better understand your role in recognizing and escalating suspicious activity

Designed for

Operations

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