Red Flags and EDD for Non-Bank Financial Institutions

Instructor: Vicki Landon
Product ID: 703536
  • Duration: 60 Min

recorded version

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Read Frequently Asked Questions

This webinar will address the red flags that may indicate money laundering and fraud in non-bank financial institutions. It will also provide guidelines for conducting enhanced due diligence (EDD).

Why Should You Attend:

Much of the existing guidance on red flags focuses on depository institutions.

This webinar will explore what red flags non-depository businesses should be on the lookout for – these red flags usually are indicators of potential money laundering or fraud or a reason for conducting enhanced due diligence (EDD). The course will look at life insurance companies, broker-dealers, money service businesses, casinos, mortgage originators, and the precious metals / jewelry industry. The webinar will explore money laundering typologies being reported in these businesses and discusses their indicators.

Areas Covered in the Webinar:

  • Typologies reported by FATF, FinCEN and FINTRAC
  • FinCEN and FINTRAC reported trends in SARs and STRs
  • Red flags: indicators of suspicious activities and triggers for EDD
  • Methods of detecting the red flags

Who Will Benefit:

  • BSA/AML Compliance Officers
  • BSA/AML Analysts
  • Internal Auditors

Instructor Profile:

Vicki Landon, CAMS-Audit, CFCS, FLMI and President of Landon Associates, Inc., provides BSA/AML, OFAC, and anti-fraud services to financial institutions. She brings extensive experience in BSA/AML/OFAC risk assessments, independent audits, vendor assessments, implementation of transaction monitoring systems, and other aspects of AML programs. She frequently teaches and presents sessions on AML, OFAC and anti-fraud topics for webinars and industry conferences, and has been published by the Association of Certified Anti-Money Laundering Specialists (ACAMS). Her background of 25+ years in financial services, financial services data and business processes, record management systems and AML transaction monitoring systems enable her to address all aspects of an AML program. She co-founded and co-chairs the Central Texas Chapter of ACAMS.

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