Overview

A successful compliance function is a fundamental requirement for any effective business; in financial services it is a critical component.The Chartered Institute for Securities & Investment (CISI)’s Global Financial Compliance qualification is a comprehensive global introduction to all the issues a global compliance officer may encounter. It provides a sound...

A successful compliance function is a fundamental requirement for any effective business; in financial services it is a critical component.

The Chartered Institute for Securities & Investment (CISI)’s Global Financial Compliance qualification is a comprehensive global introduction to all the issues a global compliance officer may encounter. It provides a sound grounding in:

  • the international regulatory environment
  • the compliance function
  • managing the risk of financial crime
  • ethics, integrity and fairness
  • governance, risk management and compliance

Who is this for?

The Global Financial Compliance qualification has been developed to provide candidates with a broad understanding of the compliance issues that arise within the financial services industry and is particularly aimed at compliance officers and all compliance staff.

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
4.1 Ethics
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