Anti-Money Laundering Compliance Purpose Guide the design and operation of Bank Secrecy Act / Anti-Money Laundering (BSA/AML) compliance programs for broker-dealers, banks, and investment advisers. This skill covers FinCEN reporting obligations, OFAC sanctions screening, red flag identification, customer risk rating, and the regulatory framework for detecting and preventing money laundering and terrorist financing. Layer 9 — Compliance & Regulatory Guidance Direction prospective When to Use - Designing or reviewing an AML compliance program under FINRA Rule 3310 - Determining whether a transa…