Securities Spotlight: Effective Transaction Monitoring and CIP for Broker-Dealers

  • When: Previously recorded on: October 14, 2015
  • Time: 12:00 PM – 2:00 PM ET
  • Level: All

Transaction monitoring is crucial for every financial institution. But it’s particularly challenging for broker-dealers, which often deal with complex financial products that flout standard CIP and beneficial ownership protocols. Meanwhile, fund transfers to high-risk jurisdictions and identification of PEPs require AML-related attention. In this frank discussion, leading broker-dealers discuss their industry’s greatest compliance challenges, and outline clear paths for meeting regulatory expectations.

Learning Objectives:

  • Developing transaction monitoring systems and worker training to spot suspicious activities
  • Establishing CIP and CDD for the unique correspondent banking demands of broker-dealers
  • Conducting independent testing and routine updating to keep AML systems robust

Who Should Attend

  • Compliance Personnel
  • Technology Officers
  • Broker-Dealers


  • Broker-Dealers
  • Technology Vendors
  • AML Consultants


ACAMS Members Non-Members
$245 $445
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Alison Jimenez
  • Alison Jimenez, CAMS

  • President
  • Dynamic Securities Analytics


Scott Fleisher
  • Scott Fleisher

  • Director, Senior Global Financial Crimes Compliance Officer
  • Bank of America

Bao Nguyen
  • Bao Nguyen, CAMS, CFE

  • Director of Risk Advisory Services
  • Kaufman, Rossin & Co.

Steven Trigili
  • Steven Trigili, CAMS

  • Chief AML Compliance Officer
  • Garden State Securities