FINRA Course Released on the AML Supervisor Role

MILWAUKEE – October 3, 2017– Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new FINRA Firm Element course to its e-learning catalog.

The course, “AML – Supervisors: Understanding Your Role – Vol. 2,” discusses the obligations that supervisors have to ensure that their firm is in compliance with its AML program. The course also provides scenarios that highlight suspicious activity registered representatives may encounter when working with customers, and demonstrates how supervisors can detect and promptly report suspicious activity in customer accounts.

Course Topics Include:

  • AML Background
  • Rules & Regulations
  • Customer Identification Program
  • Detections and Reporting Suspicious Activity
  • Scenarios & Feedback

For questions regarding this or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com. To view Quest CE’s Firm Element course catalog, click here.

###

About Quest CE

For over thirty years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing compliance risk exposures.

Serving more than 1,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations’ training and compliance needs. For more information on Quest CE, visit www.questce.com.