Scenarios focus on the responsibility of all employees to escalate suspicious activity and possible red flags, and illustrate the value of account monitoring by operations staff.

Upon completion of this course, students will be able to:

• understand why broker-dealers have anti-money laundering compliance programs
• know what is required to conduct customer and beneficial owners identification and verification
• recognize the importance of ongoing due diligence as it relates to customers and their accounts
• identify “red flags” that may signal money laundering or other suspicious activity
• better understand your role in recognizing and escalating suspicious activity

Operations