CISI - Global Financial Compliance
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 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.
Course Details
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
- Client Vulnerability
Governance, Risk Management and Compliance
- Corporate governance
- Key risk types, their application and impact on the compliance function
Workbook
CISI Exam Details
2 Hour multiple choice computer based test (CBT)
Questions: 100
Pass Mark: 70%
CISI Workbook & Exam Fees
International
Exam & Workbook £331.00
+£35.00 CISI registration for new students
UK
Exam £239.00
Workbook £90.00
Exam, Workbook and elearning package £347.00
+£60.00 CISI registration for new students
Recommended minimum study time: 100 hours
To order your workbook and book your exam, visit the CISI's online Booking Portal
CPD Points
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.
Virtual Delivery
Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:
- Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
- Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
- Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.
Additional Benefits:
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Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.
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On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.
In-Person Delivery
Our in-person training is delivered face to face at your offices, and includes:
- ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.