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
Who takes Global Financial Compliance?
This certificate is suitable for all compliance staff and will be particularly useful for those working in, or wishing to work as Compliance Officer, either on an outsourced consultancy role or a full time Compliance officer position within the Financial Services Sector.
Why enrol in Global Financial Compliance?
This qualification covers all the key aspects of compliance. It is globally portable, addressing international issues and reflecting the needs of a worldwide market. Furthermore, participants who will also sit CySEC’s exams and work as Compliance Officers in Cyprus Investment Firms, will also receive the full Certificate in Global Financial Compliance, opening the doors to a vast international network of companies.
Element 1 – The International Regulatory Environment
1.1 Models of regulation
1.2 The International approach to regulation
Element 2 – The Compliance Function
2.1 International best practice
2.2 The role of the Compliance function within a firm
2.3 Managing regulatory relationships
Element 3 – Managing the Risk of Financial Crime
3.1 Money laundering, terrorist financing and the standards required of firms
3.2 Practical implications
3.3 Policies, procedures and controls required of Firms
Element 4 – Ethics, Integrity and Fairness
4.2 Market Integrity
4.3 Fair Conduct
4.4 Fair Dealing
Element 5 – Governance, Risk Management and Compliance
5.1 Corporate governance
5.2 Key risk types, their application and impact on the Compliance function
Key features of Global Financial Compliance
This Award is regulated by Ofqual as a level 3 qualification. On the European Qualifications Framework, this equates to a level 4 qualification.
DATES: 29, 31 May
DURATION: 14 Hours
CPD UNITS: 10
LOCATION: EIMF Premises, Nicosia
TIME: 09:00 - 17:00
FEES: €305 + VAT
Participants can choose to attend the course and will receive a certificate of attendance indicating successful participation indicating topics covered
About the Exam
For participants who choose to take the exam and get the CISI qualification they will need to also register for the exam with CISI.
The qualification is examined via computer based testing and exams take place throughout the year.
The exam consists of 100 multiple choice questions and lasts 2 hours.
Download Registration Form
You can register for this course by filling in the above form and sending it to the EIMF at email@example.com or via fax at 2227 4475.
For help completing the form please call 2227 4470
If you would like to discuss bringing this or another topic to your organization on an in-house basis please call us at 22274470 or email us at firstname.lastname@example.org.
A seasoned trainer, Yiannos has been putting his diverse international business experience in good use by helping organizations achieve their targets by empowering their people through energetic, value adding training programs.
Yiannos has developed and conducted professional training seminars with emphasis on accounting, finance, management, regulation as well as a variety of business topics to corporate audiences in many countries including Poland, Hungary, Greece, Cyprus, Kuwait, Oman, Qatar, Bahrain, Saudi Arabia, Dubai, Egypt, Abu Dhabi etc.
During his career Yiannos has held various managerial and executive positions in a number of multinational companies in Europe and the Middle East in a variety of industries.
He was involved in diverse activities ranging from business development to operations and executive management. He structured complex investment funds, lead organizational change, and implemented regulatory programs across international organizations.
Yiannos holds non–‐executive directorships in a number of financial services organizations and is a member of many international professional bodies. He is currently the Managing Director of Intelion Partners, a boutique firm focusing on management, financial, and investment firm/fund advisory and consulting.