Global Financial Compliance

Global Financial Compliance

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Excl. Tax: £995.00 Incl. Tax: £1,194.00


About The Course

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.

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

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. Global Financial Compliance, combined with a regulatory paper, is recognised by Ofqual as the level 3 Certificate in Global Financial Compliance.

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Who Should Attend?

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

What’s Included?

  • Refreshments & Lunch
  • Course Slide
  • Official Study Guides
  • Official Exam
  • Exam Voucher


There are no prerequisites for this course but candidates would benefit from completing the Introduction to Investment course.

Book This Course

Location Days Dates Cost Book
London 2 Days £995 + VAT

Additional Information

Additional Information

START DATE Mar 18, 2019
END DATE Mar 19, 2020
City No
Excl. Tax: £995.00 Incl. Tax: £1,194.00

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