Findings from a regulatory examination report states that the job descriptions of personnel outside of the compliance de
Posted: Thu Jul 21, 2022 8:59 pm
Findings from a regulatory examination report states that the job descriptions of personnel outside of the compliance department do not include references to anti- money laundering responsibilities.
Which action should the firm take?
A. Update all job descriptions to include anti-money laundering responsibilities
B. Respond that only compliance personnel have anti-money laundering responsibilities
C. Send an email to all staff stating that personnel must observe the anti-money laundering policy
D. Reply that a description of anti-money laundering responsibilities is included in the annual training
Which action should the firm take?
A. Update all job descriptions to include anti-money laundering responsibilities
B. Respond that only compliance personnel have anti-money laundering responsibilities
C. Send an email to all staff stating that personnel must observe the anti-money laundering policy
D. Reply that a description of anti-money laundering responsibilities is included in the annual training