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Global Financial Compliance

CISI's official Global Financial Compliance Training Course

Description

 

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. 

 

About This Course

 

Key features:

  • Specialist qualification – covers all key aspects of compliance and can be taken as a stand-alone qualification or as part of the Investment Operations Certificate (IOC)
  • Combine it with a CISI regulatory exam to complete the full Certificate in Global Financial Compliance. You are exempt from the regulation paper if you  have already achieved a regulatory paper through another route, such as the IOC
  • Offers a progressive study pathway – Global Financial Compliance is the first step in the CISI’s compliance qualifications study pathway and offers access to the higher level Diploma in Investment Compliance
  • Globally portable – addresses international issues and best practice techniques
  • Free CISI Student membership – become associated with a Chartered professional body and take advantage of an extensive range of benefits
  • Access to Associate membership and ACSI designatory letters

 

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)

Accreditation

cisi tp

Prerequisites

 

None, but please remember, this is a main Qualification under the Compliance & Risk pathway and should not be undertaken lightly.

What's Included?

 

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

Exam fee

Official Study Workbooks

Past papers

Who Should Attend?

 

Students on the Compliance & Risk Qualifications pathway plus anyone with an interest in Financial Crime prevention.

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