Duration: 3 Days
Delivery method: In-house
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...
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.
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
- 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
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.