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

Training Objectives

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

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.

Training Style

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 benefit from extensive Q&A sessions throughout the course, which can be ideal for general learners and candidates pursuing the respective exam.

Participants will also have access to 100 online revision questions with answers, which can be ideal for candidates pursuing the respective exam.

CPD Recognition

This programme may be approved for up to 15 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

This training course may be approved as an external activity under the  new  ACAMS  recertification  category ”non-ACAMS credits” for up to 10 CPD units. Eligibility criteria and CPD Units are verified directly by the Association of Anti-Money Laundering Specialists (ACAMS). To read more about the non-ACAMS credits policies and eligibility criteria please click here. 

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.

Optional Exam

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: £50.00
• CISI Global in Financial Services (1st Attempt): £377.00
• CISI Global in Financial Services (Resits): £266.00

CISI Membership at EIMF

As a member of a Chartered professional body you will benefit from an enhanced status in the financial services sector globally. You will become a part of an organisation which holds the respect of governments and firms around the world, and can communicate with the public on an authoritative and clear level. Find more information

Further Qualifications 

To further theoretical and practical knowledge upon completion of Global Financial Compliance, qualifications to take include:

• Investment Operations Certificate
• Diploma in Investment Compliance

In-house Training

For groups within the same organisation, this course may be customized to meet any specific needs and delivered in-house.