FINRA offers an expanding suite of e-learning courses specifically developed for AML training. These courses cover concepts and strategies for detecting and preventing money-laundering activity.
- Independent Course: Two AML Independent Courses – Understanding Your Compliance Obligations and More Key Issues
- Institutional Series: Nine AML Institutional courses – including Customer Identification Procedures, Due Diligence for Foreign Correspondent Accounts, Identification and Reporting Issues and more
- Operations Series: Seven AML Operations Courses – Customer Identification Procedures, Escalating Concerns of Unusual Activity and Responsibilities for Due Diligence, Recognizing Red Flags, More Key Issues and more
- Retail Series: Nine AML Retail Courses – including Due Diligence for Private Banking Accounts, Recognizing and Escalating Suspicious Activity, Recognizing Red Flags, a course for Bank-Affiliated Broker-Dealers and one for Broker-Dealers Conducting Business With Foreign Customers
- Supervisors Series: Two AML Supervisor Courses – Understanding Your Role Vol. 1 and 2
- Wholesalers Course: Two AML Wholesaler Courses – Understanding Your Compliance Obligations, and Detecting and Deterring Money-Laundering Activity
- Compliance Series: Two courses on suspicious activity surveillance for compliance professionals
For a full list of available AML courses, view the e-learning course brochure . (PDF 102 KB).
To purchase an AML course, any of FINRA’s other Firm Element e-learning courses or a library subscription, visit any of the following third-party Firm Element training vendors.
Note: Use of FINRA's e-learning courses does not guarantee compliance with regulatory requirements or create a safe harbor from regulatory responsibilities.