Global Financial Compliance

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Global Financial Compliance


Course Duration: 3 days

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Global Financial Compliance will provide you with a broad understanding of the compliance issues that arise within the financial services sector. The qualification addresses techniques used to implement a successful compliance function in a bank and provides a comprehensive introduction to all the issues a global Compliance Officer may encounter. It explores the international regulatory environment, managing the risk of financial crime, governance, risk management, ethics, integrity and fairness.
  • 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
  • Global Financial Compliance is suitable for all compliance staff and will be especially relevant for Compliance Officers
  • This multiple choice question (MCQ) exam is computer based, consists of 100 questions and lasts 2 hours. The current pass rate for this exam is 72%and the pass mark is70%.We recommend a minimum of 100 hours study
Day 1
  • Introduction
Day 2
  • Case Study
  • Workshop
Day 3
  • Prep Test
  • Test
  • Close out and Issue Certificate