MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking technology solutions, announced today the addition of its new course, “AML Risks in Foreign and Non-U.S. Accounts” to its Firm Element e-learning catalog.
Learners gain a practical overview of anti-money laundering risks that may arise when accounts involve foreign or non-U.S. individuals, entities, or activities. The course reviews the core AML framework under the Bank Secrecy Act and FINRA Rule 3310, examining how geographic risk, ownership structures, and transaction behavior can elevate AML risk in foreign account relationships. Through examples and scenarios, learners recognize potential risk indicators and understand common challenges related to foreign documentation and ownership transparency. The course reinforces the representative’s role in documenting observations and escalating concerns in accordance with firm policy.
This course focuses on three core topics: 1) Foreign Account Risk Profiling 2) Red Flags in International Transactions, and 3) Customer Identification & Due Diligence Awareness.
Course Topics Include:
- Geographic Risk
- Transaction Red Flags
- Escalation Duties
For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element course catalog, click here.
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About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com
