A successful compliance function is a fundamental requirement for any effective business, whereas in financial services it is a critical component.
The CISI Global Financial Compliance course provides a broad understanding of the compliance issues that arise within the financial services sector. The programme addresses techniques used to implement a successful compliance function and provides a comprehensive introduction to all the issues a Compliance Officer may encounter.
It explores the international regulatory environment, managing the risk of financial crime, governance, risk management, ethics, integrity and fairness.
Why Choose the CISI the Global Financial Compliance Qualification?
- 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
By the end of the programme, participants will have an international understanding of:
- Models of regulation
- The international approach to regulation
- The national approach to regulation
- International best practices
- The role of the compliance function within a firm
- Managing regulatory relationships
- Money laundering, terrorist financing and the standards required of firms
- Practical implications
- Policies, procedures and controls
- Ethics, market integrity, fair conduct and fair dealing
- Corporate governance
- Key risk types, their application and impact on the compliance function
The programme is designed to enhance participants’ broad understanding via short lectures, practical examples, and practice questions.
Most of the training delivery will be based on the CISI Global Financial Compliance certification syllabus and the related national regulations. Participants will also benefit from extensive Q&A sessions throughout the course, which can be ideal for general learners and candidates pursuing the respective exam.
Who Should Attend
The programme is suitable for all compliance staff and will be especially relevant for Compliance Managers and Officers, as well as any professional seeking to attain the CISI Global Financial Compliance certification.
Chartered Institute for Securities & Investment (CISI)
The CISI is the leading professional body for securities, investment, wealth and financial planning professionals. Formed in 1992 by London Stock Exchange practitioners, they have a global community of circa 45,000 members in 104 countries. The CISI sets standards of professional excellence, providing qualifications and promoting the highest level of competence.
CISI and EIMF
The CISI and EIMF have a long-lasting collaboration in organising training and development events and promoting opportunities that are of value to the CISI members as well as to securities, investment, wealth and financial planning professionals. The CISI has awarded the EIMF the “Authorised Training Provider” status, which allows EIMF to offer quality preparation courses for participants pursuing the CISI certificates, such as the CISI Global Financial Compliance.
Participants of the CISI Global Financial Compliance course at EIMF can select to pursue the respective CISI Exam to be awarded with the CISI Global Financial Compliance Certificate. This Certificate is a specialist qualification, covering all key aspects of compliance. It can be taken as a stand-alone qualification or as part of the CISI Investment Operations Certificate (IOC). Passing the CISI Global Financial Compliance exam also provides participants with a free CISI Student Membership, access to the Associate Membership and the valued ACSI designatory letters.
The exam is Multiple Choice Computer-Based, consisting of 100 questions and lasts 2 hours. The current pass rate for this exam is 72% and the pass mark is 70%.
The following exam fees are payable directly to the CISI upon registration:
- Qualification Registration Fee: £32.00
- CISI Risk in Financial Services (1st Attempt): £306.00
- CISI Risk in Financial Services (Resits): £223.00
For exam registration and to find out more about the available sittings, please visit the CISI website.