Funds & tradingExplore

AML training for funds & trading teams

Know who is behind each investment.

Certification, workshops and training records for investor services, operations and compliance teams, built around your products, investors and procedures.

For fund managers, administrators, securities brokers and investment firms.

Request a team quoteSee what your teams will work on

In through a nominee, out to a third party.

Trained teams check the payee before the money leaves.

An illustration: an investor buys into a fund through a nominee, and the redemption is paid to a third party. Then the team is trained and holds the redemption for review.

Institutional training
Selected by CEPOLTo design and deliver its Diploma Course on Financial InvestigationsRead the announcement
CPD accreditation
CPD Standards OfficeAccredited provider 50475
Learner rating
4.9 out of 5587 end-of-course ratings for CASS
  • 12core CPD hours
  • 4industry CPD hours
  • 4industry lessons

Certification for funds and trading teams

AML Foundations · Funds & trading

For people entering fund administration, investor onboarding or compliance, and professionals moving into the funds and trading sector.

Understand financial-crime risk across investor relationships, ownership structures and the movement of investment funds. Learn where AML responsibilities sit across managers, administrators and distributors.

Online and self-paced, with the industry track in English. A foundation for the sector, rather than advanced trading or market-abuse surveillance training.

Explore the pathway

What your teams will work on

Six areas across funds and investor services, and securities and brokerage. Depth follows your business model, each team’s responsibilities and the jurisdictions you operate in.

  1. 01

    Investor & client due diligence

    Onboarding, investor services & KYC teams

    • Risk assessment for investors and clients
    • Evidence of the source of funds and wealth
    • When further information is needed

  2. 02

    Ownership & control

    Reviewers, administrators & compliance teams

    • Legal entities and ownership chains
    • Nominee and omnibus arrangements
    • Separating documented ownership from open questions

  3. 03

    Subscriptions & redemptions

    Fund operations, transfer agency & investor services teams

    • Payments that do not match their expected source
    • Third-party payments
    • Changes to redemption instructions

  4. 04

    Trading & settlement

    Front office, operations & financial crime teams

    • Activity that does not fit the client’s profile
    • Unexplained transfers
    • Counterparty and settlement questions

  5. 05

    Intermediaries & handoffs

    Managers, administrators, distributors & oversight teams

    • Reliance and delegated processes
    • Access to the information each party holds
    • Responsibilities when evidence is incomplete

  6. 06

    Escalation & oversight

    Analysts, reviewers, the MLRO & management

    • Clear internal referrals
    • Reporting decisions under the rules that apply
    • Quality review and training records
  • Investor & client due diligenceOnboarding, investor services & KYC teams
    • Risk assessment for investors and clients
    • Evidence of the source of funds and wealth
    • When further information is needed
  • Ownership & controlReviewers, administrators & compliance teams
    • Legal entities and ownership chains
    • Nominee and omnibus arrangements
    • Separating documented ownership from open questions
  • Subscriptions & redemptionsFund operations, transfer agency & investor services teams
    • Payments that do not match their expected source
    • Third-party payments
    • Changes to redemption instructions
  • Trading & settlementFront office, operations & financial crime teams
    • Activity that does not fit the client’s profile
    • Unexplained transfers
    • Counterparty and settlement questions
  • Intermediaries & handoffsManagers, administrators, distributors & oversight teams
    • Reliance and delegated processes
    • Access to the information each party holds
    • Responsibilities when evidence is incomplete
  • Escalation & oversightAnalysts, reviewers, the MLRO & management
    • Clear internal referrals
    • Reporting decisions under the rules that apply
    • Quality review and training records

Request a team quote

A redemption request that needs a closer look

An investor asks for redemption proceeds to be sent to a new account held by another entity. The administrator’s file and the relationship team’s explanation do not yet establish the connection.

Illustrative workshop briefSee how a workshop works
  1. 01
    The fileA changed redemption instruction, the ownership records and the investor’s payment history.
  2. 02
    The group taskCompare the instructions with the ownership and payment records. Identify the missing information, agree the internal referral and document the reasoning.
  3. 03
    The takeawayA concise review note: evidence, open questions and proposed next steps.

Adapt existing programmes or build modules, courses and simulators around your fund structures, client activity and review procedures. Trading and settlement cases for brokerage teams are scoped with you in the brief. Discuss a tailored programme

Three stages of team learning

Book a single session or one stage on its own, or bring all three together in an annual programme reviewed against the evidence.

  1. 01

    Assess

    Know where your team stands

    • A free team AML check: 10 questions each, with a team report once three people finish. We can also arrange it with you.
    • Hiring? AML Assess tests candidates with an investigation simulator and a test.
    What’s included
    • A free team AML check: 10 questions each, with a team report once three people finish. We can also arrange it with you.
    • Hiring? AML Assess tests candidates with an investigation simulator and a test.
    Start the free team check

  2. 02

    Certify

    Give each role the right qualification

    What’s included
    Compare the programmes

  3. 03

    Develop

    Keep practice current

    What’s included
    Explore live training

One training record for every stage. Progress, assessment results, attendance and certificates, in one place for your managers and your reviews.

The EU AMLR applies from 10 July 2027, including to investment firms and collective investment undertakings. Connect each stage to its requirements with AMLR training

Records, systems and supplier review

What your managers can show, how the learning fits your systems, and the answers your IT, legal and procurement teams need.

Training records
Progress, assessment results, attendance and certificates for each person, for your own reviews, audits and supervisory inspections. See what a manager sees.
Your LMS or ours
SCORM packages in your LMS, simulators and whole programmes on our learning platform, and a custom API integration on request.
Single sign-on
SAML 2.0 single sign-on with your identity provider, or OpenID Connect on request, with SCIM 2.0 user provisioning.
Security and supplier review
Security policies, GDPR and your DPA, hosting assurance and, where relevant, DORA-related contract requirements. See security and supplier review.

Frequently asked questions

Agree the scope, delivery and learning evidence before the programme begins.

Is this for fund teams or trading firms?

Both. Fund and investor-services teams usually focus on onboarding, ownership, subscriptions and redemptions; securities and brokerage teams on client activity, counterparties and settlement. We agree your business model, the teams taking part and the jurisdictions to cover before we propose the training.

How much trading does the Foundations pathway cover?

Its four industry lessons focus on investment funds, investor relationships, distribution and AML controls. It is a foundation for the sector, rather than advanced trading or market-abuse surveillance training. Trading and settlement cases for brokerage teams are scoped with you in the brief.

Can we start with one team or one topic?

Yes. Book a single training session or workshop for one team, one topic, a difficult case type or a finding from a quality review, or start with a team AML check. If you want continuing support, we plan an annual programme around the results.

Can administrators and managers learn together?

Yes. A shared case lets each role explain what it sees and what it needs from the others, then work through its own part of the decision. Who takes part, and how each person is assessed, is agreed in the proposal.

Can you use our procedures and sample files?

Yes, where they are suitable. We first agree the learning objectives and the material: your procedures, and sample files that are authorised for training or anonymised. The exercises are then built around them.

Which languages can our team learn in?

The learning platform works in English, French and Spanish. CASS can be studied in English, French or Spanish, and AML Foundations in English or Spanish. CAPS, FIAR and the industry tracks are taught in English, and certificates are issued in English.

How are timing and pricing agreed?

Each programme’s individual price is on its page. For teams, we quote for the people, programmes and live sessions you choose, as a single session or an annual agreement, once we have agreed the scope, any tailoring and the delivery. Allow around four weeks to prepare tailored live sessions.

Let’s plan the learning

Request a team quote

Tell us about your team and priorities. We’ll come back with the options and a proposal.

What happens next

We’ll review your brief, discuss the options and agree the scope with you.

Not ready for a quote? Start the free team check

Prefer to talk it over?

Book a 30-minute call (opens in a new tab)The call is in English.
[email protected]

Let’s talk about AML training for funds & trading teams

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[email protected]

Not ready for a quote? Start the free team check