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

CRC-Oyster: Compliance Risk Concepts / Oyster Consulting