Key Details

Duration: 3 Days

Delivery method: In-house

Overview

A successful compliance function is a fundamental requirement for any effective business; in financial services it is a critical component.The Global Financial Compliance qualification addresses techniques used to implement a successful compliance function in a firm. It provides a comprehensive introduction to all the issues a global Compliance Officer may...

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

The Global Financial Compliance qualification addresses techniques used to implement a successful compliance function in a firm. It provides a comprehensive introduction to all the issues a global Compliance Officer may encounter. It addresses international issues including the international regulatory environment, managing the risk of financial crime, governance, risk management, ethics, integrity and fairness.

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.

The International Regulatory Environment

  • Models of regulation
  • The international approach to regulation

The Compliance Function

  • International best practice
  • The role of the compliance function within a firm
  • Managing regulatory relationships

Managing the Risk of Financial Crime

  • Money laundering, terrorist financing and the standards required of firms
  • Practical implications
  • Policies, procedures and controls required of firms

Ethics, Integrity and Fairness

  • Ethics
  • Market integrity
  • Fair conduct
  • Fair dealing

Governance, Risk Management and Compliance

  • Corporate governance
  • Key risk types, their application and impact on the compliance function

Our classroom training is delivered in-house and can be tailored to your Firm's requirements and the ability of the audience preparing for CISI exams.

Face to face training
Our recommended approach includes face to face training with one of our CISI expert trainers who will guide participants through the syllabus in a structured, engaging and interactive manner.

Practice tests and mock exams
Our face to face training days commence with a ‘kick-off’ test, testing the participants on their existing capabilities, and finish with a ‘progress’ test assessing their progress on the days topics.

As part of our in-house CISI study programmes, participants have access to chapter by chapter practice questions and a mock exam that simulates the real CISI examination.

These tools provide valuable feedback and monitoring to track the participants’ performance throughout the study programme and are vital in effectively preparing participants for success in their CISI exam.