Broker-Dealer Anti-Money Laundering Internal Risk Assessment Index

The Broker-Dealer AML Internal Risk Assessment Index serves as an important part of a firm’s overall compliance program by meeting certain requirements under FINRA Rule 3310(f).  The customizable spreadsheet allows firms to memorialize their risk assessment processes and includes multiple columns, sections and drop-down selections covering specific business areas, responsible supervisors, identified risks, risk levels, corresponding policies and control procedures, testing processes and remediation.  The Index also assists firms in addressing certain AML regulatory focal points often highlighted during the FINRA examination process. Members also downloaded Broker-Dealer AML Procedures, AML Independent Test- Audit Review Template, and FINRA Small Firm AML Template.

Version/Update: V.3/April 2, 2022

Total Page Count/Format: 2/.xlsx (landscape)

Source/Author(s): Connexien