Holiday Hours

In observance of Memorial Day, WebCE Support Services hours will be:
Fri, May 24th: 7:00am-7:00pm CST | Sat, May 25th: 10:00am-3:00pm CST | Sun May 26th - Mon May 27th: Closed

We will resume our regular hours of 7:00am-7:00pm CST on Tues May 28th, Online catalogs and course delivery will be available without interruption.

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

Upon completion of this course, students 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


Find this course for your license:

License or Certification

Regulator

Type