FINRA: AML—Operations: More Key Issues

Overview

The scenarios in this course aim to help operations professionals identify unusual activity in customer accounts that could indicate potential money laundering, and identify what steps to take when such suspicion arises.

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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