Training Objectives

By the end of the programme, participants will have a broad understanding of: 

• the general principles of risk in business 
• the key risks that arise within the financial services industry 
• the influence of corporate governance, regulation and codes of conduct 
• the approaches that are typically used to identify, reduce and manage specific aspects of risk 

Training Outline

• Principles of Risk Management 
• International Risk Regulation 
• National Regulation 
• Operational Risk 
• Credit Risk 
• Market Risk 
• Investment Risk 
• Liquidity Risk 
• Model Risk 
• Risk Oversight and Corporate Governance 
• Enterprise Risk Management (ERM) 

Who Should Attend

The programme is ideal for: 

• Risk and compliance teams 
• Branch management 
• Corporate lawyers 
• Finance officers 
• Senior managers of all disciplines 
• Existing and aspiring non-executive directors 
• Professionals who would like to attain the CISI Risk in Financial Services 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 Risk in Financial Services certification syllabus and the related national regulations. Participants will benefit from extensive Q&A sessions throughout the course, which can be ideal.  

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.

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 Risk in Financial Services.

Optional Exam 

Participants of the CISI Risk in Financial Services course at EIMF can select to pursue the respective CISI Exam to be awarded with the CISI Risk in Financial Services Certificate. This Certificate is a specialist qualification, covering a range of risks in financial services. It can be taken as a stand-alone qualification or as part of the CISI Investment Operations Certificate (IOC). Passing the CISI Risk in Financial Services exam provides you also 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 63% and the pass mark is 70%. 

The following exam fees are payable directly to the CISI upon registration:

• Qualification Registration Fee: £40.00
• CISI Risk in Financial Services (1st Attempt): £359.00
• CISI Risk in Financial Services (Resits): £260.00

For exam registration and to find out more about the available sittings, please visit the CISI website. 

Further Qualifications 

• 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.