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CISI Level 3 Award in Global Financial Compliance

The Professional Body of Choice for the Financial Services Industry

The Chartered Institute for Securities & Investment is the leading professional body for securities, investment, wealth and financial planning professionals. The CISI has been dedicated to professionalism since it emerged from the London Stock Exchange in 1992.

This is an 8 day program conducted over 4 weekends. The 2017 intake is due to begin on February 2017. Limited places available. Get in touch with us by filling up the enquiry form below or calling/emailing us. 

What is Global Financial Compliance?

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.

Why study Global Financial Compliance?

Global Financial Compliance will provide you with a broad understanding of the compliance issues that arise within the financial services industry. 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.

Is Global Financial Compliance right for me?

Global Financial Compliance is suitable for all compliance staff and will be especially relevant for Compliance Officers.

Key features:

  • 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
  • Access to Associate membership and ACSI designatory letters

Qualification Structure

Global Financial Compliance is achieved by successfully passing a multiple-choice question exam. Details for this exam are shown below.

Global Financial Compliance can also be combined with a regulatory exam to achieve the CISI Level 3 Certificate in Global Financial Compliance. It can also be taken as part of the Investment Operations Certificate .

Global Financial Compliance is regulated by Ofqual as a level 3 qualification on the Regulated Qualifications Framework (RQF). On the European Qualifications Framework, this equates to a level 4 qualification.  As a stand-alone award it is recognised by Ofqual as the level 3 Award in Global Financial Compliance. Success in this qualification carries with it 10 RQF credits. Global Financial Compliance, combined with a regulatory paper, is recognised by Ofqual as the level 3 Certificate in Global Financial Compliance. Success in this qualification carries with it 18 RQF credits.

Who should study Global Financial Compliance?

Suitable for all compliance staff and will be especially relevant to Compliance Officers.

Need more info?

If you need further info on this program, all you need to do is to fill up the form at the top of this page and/or call/email us. We will brief you on the details of this program and guide you all the way!
 
 You can also download the Program Brochure for more detailed explanation on the program.
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Fill up the enquiry form below for more info.

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About CISI

The Chartered Institute for Securities & Investment is the leading professional body for securities, investment, wealth and financial planning professionals. Formed in 1992 by London Stock Exchange practitioners, we have a global community of circa 40,000 members in 116 countries and last year more than 40,000 CISI exams were sat in 80 countries, 15,000 taken outside the UK.

Royal Charter

On Friday 9 October 2009, Her Majesty the Queen signed the Charter formally creating the Chartered Institute for Securities & Investment (CISI).  This is a significant milestone in the history of the Institute, as we join the ranks of professional bodies such as accountants, lawyers and bankers.

Sir Alan Yarrow, Chartered FCSI(Hon), Chairman, said: “It is very pleasing that the CISI, which has built an enviable reputation for professionalism in the sector, has had its position as a pre-eminent professional body endorsed by the award of a Royal Charter. I would like to thank all of our members and corporate members for their commitment to high standards in qualifications, continuing professional development and the promotion of integrity and ethics: the foundation stones of our application to the Privy Council.”