Quest CE Releases Course on AML for Supervisors

MILWAUKEE – May 28, 2015 – Quest CE, premier provider of insurance continuing education and FINRA Firm Element training, today announced the addition of a new Firm Element course to its e-learning catalog.

The new course, “Anti-Money Laundering for Supervisors” provides an overview of money laundering and AML programs, followed by a discussion of AML red flags, from the point of view of a supervisor. The course goes beyond just the identification of possible red flags, by discussing what should happen next—and the supervisor’s role in the monitoring, investigation, and reporting of suspicious activities. The course concludes with a summary of a recent AML enforcement action involving a well-known industry firm that illustrates how even a large, sophisticated firm can fall victim to inadequate AML efforts.

Course Topics Include:

  • AML laws in the US
  • Adopting an anti-money laundering program
  • Customer identification procedures
  • Red flags of suspicious activity
  • Monitoring, investigating and reporting suspicious activities
  • Case study – repeated failures of an AML compliance program

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

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About Quest CE

For over twenty-five 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 also provides a complete spectrum of proprietary technology solutions for managing and supervising 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 seeking training and compliance needs. For more information on Quest CE, visit http://www.questce.com.