FINRA COMPLIANCE: AML

AML Program Implementation; AML Independent Audit
Financial services firms regulated by FINRA are required by Rule 3011 to develop an AML program that is reasonably designed to achieve compliance with the Bank Secrecy Act. Member firms are also required to have their AML program tested by independent and qualified individuals. CQP offers consultants who have implemented and managed AML programs at financial services firms, and consultants who are CAMS certified with the Association of Certified Anti-Money Laundering Specialists.

• Independent AML Audits
• Written Supervisory Procedures
• Know-your-customer procedures
• Procedures for monitoring suspicious activity
• AML program documentation
• Record keeping and retention procedures
• Training design and delivery, including annual AML training through our strategic partner LIMRA International's on-line AML training service.