Anti-Money Laundering Compliance Boot Camp

November 11 - 12, 2008 • New York, New York

 

Enrollment is now closed. Additional programs will be offered in 2009; details will be posted online in December 2008.

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

Live Webinar: Introduction and program overview	October 16 (1:30 - 2:30 p.m. ET)
Self-Study: Complete online learning and reading materials (10-12 hours of work)	October 17 - November 4
Assessment: Complete and submit self-study assessment	November 4 (no later than)
Classroom Session: Attend two-day course and complete in-class multiple-choice test	November 11 - 12 The Coleman Center 810 Seventh Avenue (between 52nd and 53rd Streets) New York, New York 10019 View Map

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 by October 9, 2008. We regret that refunds will not be granted after this date.

 

Questions: If you have questions, call (212) 858-4119.

 

Only FINRA's Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences and other professional development courses are closed to the media.