In this episode of the Oyster Stew podcast, Oyster Consulting’s Ed Wegener and Bryan Jacobsen break down how firms can implement risk-based monitoring, tailor training for frontline roles, conduct effective investigations, and ensure your firm’s Suspicious Activity Report (SAR) filings are what regulators require.
Key Takeaways
- What regulators expect from your AML compliance program
- Risk-based surveillance: Going beyond cookie-cutter monitoring
- How to tailor red flag training by employee role
- Investigating suspicious activity: When to file a SAR, how to do it right
- Leveraging third-party vendors for transaction surveillance and case management
- Common mistakes firms make—and how to avoid them
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