Anti-Money Laundering Compliance Boot Camp
Space is limited and will be filled on a first-come, first-served basis.
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Cost |
Members - $945 Non-Members - $1295 |
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Duration |
2 Days |
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Time |
8:00 am – 5:00 pm |
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Location |
Date |
Code |
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New York, NY |
November 11-12 |
CL0392 |
The Anti-Money Laundering Compliance Boot Camp covers core anti-money laundering (AML) regulatory requirements and compliance responsibilities. The curriculum includes how to develop an AML program, monitor for and report on suspicious activity, write a SAR and identify red flags, and create independent testing procedures. Participants are required to complete 10-12 hours of assigned pre-course readings and online self-study prior to attending the in-person session. This course is designed for new AML compliance officers and others with AML compliance responsibilities.
After completing this program, you will be able to:
- Explain the AML obligations for securities firms under the USA PATRIOT Act, NASD Rule 3011 and Bank Secrecy Act
- Develop a risk-based AML compliance program
- Apply techniques to verify customer identification and conduct other forms of due diligence
- Recognize common money-laundering red flags
- Recognize when and how to report suspicious activities
- Write and file an effective suspicious activity report form (SAR-SF)
- Conduct an effective independent testing program
- Define and develop an AML training program
- List regulatory examination priorities and common findings with respect to AML compliance
- Define the role and responsibilities of the AML compliance officer
Program Requirements
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November 11-12 |
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Live Webinar: Introduction and program overview |
October 20 |
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Self-Study: Complete online learning and reading materials (10-12 hours of work) |
October 17 – November 7 |
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Classroom Session: Attend two-day course and complete in-class multiple-choice test |
November 11–12 |
How to Enroll
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Online |
Online enrollment is for credit card transactions ONLY. To enroll using this method, complete the online enrollment form: New York, NY November 11–12. |
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Print out and complete the downloadable enrollment form. Please be sure to select the program that you plan to attend. Send payment and form to the address below with a check made payable to FINRA: |
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Fax |
Fax enrollment is for credit card transactions ONLY. Fax the completed downloadable enrollment form to FINRA at (202) 728-6956. Please be sure to select the program that you plan to attend. |
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Phone |
(212) 858-4119 |
Payment is required at the time you enroll. Enrollment without payment is considered incomplete. Also, enrollment forms may not be sent via overnight mail. Checks are sent directly to a bank lockbox, and P.O. boxes will not accept courier or overnight deliveries.
Enrollment Confirmation: You will receive an email confirmation of your enrollment within two weeks of receipt of your completed form and payment. Please make sure your enrollment has been confirmed prior to your arrival onsite.
Note: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel, especially prior to receipt of your enrollment confirmation. FINRA assumes no liability for penalties or fare increases should the program sell out or in the unlikely event that changes to the date and/or location become necessary.
Cancellation Policy: Refunds for registration, less a $75 processing fee, will be granted to written requests received up to day before the in-person program.
Questions: If you have questions, call (212) 858-4119.
Only The FINRA Annual Conference is open to the media. All other FINRA conferences, pre-conferences, classroom learning, compliance boot camps, and FINRA Institute at Wharton are closed to the media.
