Global Financial Compliance

Global Financial Compliance will provide you with a broad understanding of the compliance issues that arise within the financial services sector. The qualification addresses techniques used to implement a successful compliance function in a bank and provides a comprehensive introduction to all the issues a global Compliance Officer may encounter. It explores the international regulatory environment, managing the risk of financial crime, governance, risk management, ethics, integrity and fairness. 

Key features:

• Specialist qualification – covers all key aspects of compliance and can be taken as a stand-alone qualification.
• Combine it with a regulatory exam to complete the full picture of Global Financial Compliance. 
• Global Financial Compliance is the first step in understanding the world of Financial Crime, and the Regulatory regime  
• Globally portable – addresses international issues and best practice techniques 

Course Outline

A successful compliance function is a fundamental requirement for any effective business; in financial services it is a critical component. The Global Financial Compliance qualification addresses techniques used to implement a successful compliance function in a firm. It provides a comprehensive introduction to all the issues a global Compliance Officer may encounter. It addresses international issues including the international regulatory environment, managing the risk of financial crime, governance, risk management, ethics, integrity and fairness.

Syllabus 

1. The International Regulatory Environment

2. The Compliance function

3. Managing the risk of financial crime

4. Ethics, Integrity and Fairness

5. Governance, Risk management and Compliance

Examination

This multiple choice question (MCQ) exam is computer based, consists of 100 questions and lasts 2 hours. We recommend a minimum of 100 hours study and upon successful completion you will be awarded 8 CPD hours. Your exam may contain 10% additional trial questions.

Pass Mark / Pass Rate

The current pass rate for this exam is 70% and the pass mark is 70%. The exam grades are as follows:

Pass (70 - 100 marks)
Fail (0 - 69 marks)

None

Breakfast, Lunch, Coffee's/Teas and water throughout the day

Exam fee

Official Study Workbooks

Past papers

Students with an interest in Compliance & Risk Qualifications