Example of letter of application for employment

FINRA makes it a priority to assess the adequacy of firms' monitoring of high-risk customer accounts and transactions (see Microcap Securities discussion below), including activity that occurs in cash management accounts where banking services are offered to brokerage customers. When monitoring customer money movement activity, firms should ensure that the business purpose of higher risk transactions is understood to enable the firm to assess whether the transactions are suspicious, considering what the firm knows or should know about the customer and the customer's anticipated activity. FINRA also reminds firms to consider reviewing customers' activity over a period of time sufficient to identify patterns and ensure they assess the full picture of activity. When firms delegate the monitoring of suspicious trading activity to personnel outside of the AML function, firms should ensure that appropriate delegation has been made, and that the AML function has an open line of communication with the personnel conducting reviews of trading activity.

Example of letter of application for employment

example of letter of application for employment

Media:

example of letter of application for employmentexample of letter of application for employmentexample of letter of application for employmentexample of letter of application for employment