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

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
• communicate the importance of ongoing customer due diligence
• recognize and escalate “red flags” that may signal potential money laundering or other suspicious activity

Operations