CISI - Global Financial Compliance

Course Description:

COURSE BRIEF

Global Financial Compliance

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

The international regulatory environment
The compliance function
Managing the risk of financial crime
Ethics, Integrity and Fairness
Governance, risk management and compliance

Key Features

Specialist qualification – covers all the key aspects of compliance
Globally portable – addresses international issues, reflecting the needs of a worldwide market
Flexible study options – can be taken as a stand-alone qualification or combined with other units to achieve the full Certificate in Global Financial Compliance or Investment Operations Certificate (IOC)
ACSI designatory letters

FOR WHOM

Who should study for Global Financial Compliance?

Suitable for all compliance staff and will be especially relevant to Compliance Officers.

The qualification addresses techniques used to implement a successful compliance function and provides a comprehensive introduction to all the issues a global Compliance Officer may encounter.

Entry Qualifications

It is recommended that a prospective candidate should have a reasonable exposure to compliance related aspects.

PROGRAMME STRUCTURE

Academy of Finance Study Programme

Academy of Finance provides a comprehensive teaching programme covering 50 teaching hours in 20 two- and half-hour study sessions. This includes the core material coverage, guest lectures and comprehensive revision sessions. Estimated additional study time will be 100 hours.

Classes will be starting in February and held on Tuesdays from 7.00 pm to 9.30 pm.

Fee Structure		Standard
CISI Registration fee	£35	Rs 8,295
Local Tuition fee Examination fee	£125	Rs 35,000 Rs 29,625
Total		Rs 72,920

The Examination & Registration fees would vary depending on the exchange rate.

Simply send us your details, we will get back to you with more information.

Or just call us, our programme coordinators will guide you through!

Course Contents (In detail)

The international regulatory environment

- Models of regulation
- The international approach to regulation

The compliance function

- International best practice
- The role of the compliance function within a firm
- managing regulatory relationships

Managing the risk of financial crime

- Money laundering
- Terrorist financing and the standards required of firms
- Practical implications
- Policies, procedures and controls required of firms

Ethics, Integrity and Fairness

- Ethics
- Market integrity
- Fair conduct
- Fair dealing

Governance, risk management and compliance

- Corporate governance
- Key risk types, their application and impact on the compliance function
- Compliance risks

Next Step – Immediately after completion

CISI membership – Obtaining Global Financial Compliance entitles candidates to join the Institute at associate level and utilise the designatory letters, ACSI. As a member of the Institute, you will enjoy the recognition of being a professional in a world of increasing competition.

Next Step – Further Qualifications

Global Financial Compliance can be taken as a stand-alone award or it can also be taken with one of the following regulatory exams:

UK Financial Regulation
Local regulatory paper (for international candidates)

Upon successful completion of Global Financial Compliance and a regulatory paper, candidates will be awarded the Certificate in Global Financial Compliance.

The qualification can be further advanced by taking one of the following paths;

Investment Operations Certificate (IOC) – The Global Financial Compliance exam also forms part of the CISI’s globally recognised IOC. Once you have successfully passed the exam you can progress your studies by completing another two units to achieve the full IOC qualification. Visit cisi.org/ioc

Diploma in Investment Compliance – This qualification equips candidates with the knowledge and understanding of the financial services regulatory environment and the confidence to enforce regulatory compliance within their firm. Visit cisi.org/dipic