AML/CFT & Financial Crime for Brokers 2026

---

The course modules will support participants in:

1.  Understanding AML/CFT & Financial Crime Risks: 

This module takes a step back from the laws, rules and regulations to explore the fundamental risks and concepts of AML/CFT and financial crime. Participants will develop greater practical understanding of key risk-types such as money laundering, terrorist financing, sanctions, fraud,

bribery and corruption, and tax evasion, and what they mean in practice for brokers in Ireland.

2.  Navigating the Legal & Regulatory Landscape: 

This module provides an overview of national and international organisations responsible for

standard setting, guidance, regulation, supervision, reporting and enforcement. Participants will gain a practical understanding of the roles, functions and relevance of organisations such as

the Financial Action Task Force (FATF), Wolfsberg Group, Central Bank of Ireland (CBI), and the EU

Anti Money Laundering Authority (AMLA).

3.  Building an AML/CFT & Financial Crime Programme: 

This module explores the core pillars of an effective AML/CFT and financial crime programme based on legal and regulatory requirements and expectations. It also discusses the common pitfalls and challenges faced by firms in establishing and maintaining effective programmes. Participants will gain practical insights into programme requirements such as key roles and responsibilities, risk assessment, monitoring and testing, policies and procedures, and training.

4.  Maintaining AML/CFT & Financial Crime Controls: 

This module provides a detailed examination of the control environment for AML/CFT and

financial crime. It explores what is required of firms based on both regulatory requirements and

regulatory expectations, and the accepted best practices for effectively managing related risks.

Participants will gain a practical understanding of key controls throughout the client lifecycle e.g., Identification & Verification (ID&V), Politically Exposed Persons (PEPs), Screening; Source of

Wealth/Funds.

5.  Identifying Red Flags & Suspicious Activity:

This module shares practical insights and guidance on identifying red flags and suspicious

activities and behaviour that could arise throughout  a firm’s clients, products and services. It

also explores related investigatory processes and internal and external reporting requirements including suspicious transaction reporting (STR). 

6.  Managing Regulatory Engagement & Supervision: 

This module explores the relationship and on-going engagement between firms and their regulatory authorities. This will include guidance and best practices for managing regulatory reporting, supervision, examination, breaches and incidents, and enforcement and remediation. 

Ticket: €295 per person (plus VAT).

Award: Certificate of Completion from ComplianceLnD.

CPD Hours: To be confirmed.