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First up, what should we call you?
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1%
What are some useful tools or methods in conducting an internal AML investigation?
Choose 3 answers
(Question Type: Multiple Choice)
Subpoenaing the owners of the relevant accounts
Exploring leads through internet searches
Interviewing knowledgeable employees of the institution
Reviewing documents, particularly of relevant accounts
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What is suspicious activity or red flag with regard to a customer's activity?
Choose 3 answers
(Question Type: Multiple Choice)
Engaging in wiretransactionswith an offshore account
Asking about the bank's fee schedule for a series of transactions
Paying the tellers he deals with a regular gratuity
Exchanging small denomination bills for large ones
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When should new business products to evaluated for AML concerns?
(Question Type: Single Choice)
On an annual basis
After they have been implemented so there is empirical data to review
Before they are launched into the market
At the time of the next enterprise risk assessment
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Next
A prospective AML officer comes highly recommended by a bank's up-stream correspondent institution of similar size and make-up, located in a different city in the same country.
The bank is interested in hiring the individual.
What should be the next step taken by the Board of Directors?
(Question Type: Single Choice)
Do a thorough background check
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Add RecommendationAdd TagsView All Assigned TagsHire the individual on a probationary basis so that the institution can determine if the individualis sufficiently experienced and capable
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Add RecommendationAdd TagsView All Assigned TagsConfer with its regulatory agency to determine whether it is appropriate to hire the person
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Add RecommendationAdd TagsView All Assigned TagsHire the individual, relying on the recommendation of its correspondent
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Add RecommendationAdd TagsView All Assigned TagsBack
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What are some of the shortcomings in using letters regulatory?
Choose 3 answers
(Question Type: Multiple Choice)
They are based on a pre-existingmutualtreaty between the countries
They can be time-consuming
They are usually restricted to obtaining evidence that can be used for prosecution and otherjudicial proceedings
They must be approved in advance by the countries judicial authorities
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