COMPLIANCE & RISK MANAGEMENT

Global financial Compliance

Compliance & Risk Management

Duration

Duration

The Total Qualification Time for this qualification is 102 hours.

Start Dates

Start Dates

Flexible

Fees

Fees

Corporate Packages available.
Refer to IBCM

Delivery

Delivery

Face2Face | Online | Blended

Entry Requirements

Entry Requirements

No formal entry requirements

Student Satisfaction

Student Satisfaction

95% of Our students would recommend IBCM / IBCM Student Survey 2022

Awarding Body

Awarding Body

CISI

UCAS Course Code

UCAS Course Code

N/A

Course 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.

IDEAL FOR

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

Ofqual approval

Global Financial Compliance is regulated by Ofqual (on its Regulated Qualifications Framework) as the level 3 Award in Global Financial Compliance. On the European Qualifications Framework, this equates to a level 4 qualification.

Total Qualification-Time

The Total Qualification Time for this qualification is 102 hours.

Global Financial Compliance, combined with a regulatory paper, is recognised by Ofqual as the level 3 Certificate in Global Financial Compliance. The Total Qualification Time for this qualification is 183 hours.

Key features

  • Specialist qualification – covers all the key aspects of compliance
  • Globally portable – addresses international issues, reflecting the needs of a worldwide market
  • Flexible study options – can be taken as a stand-alone qualification or combined

with other units to achieve the full Certificate in Global Financial Compliance or Investment Operations Certificate (IOC)

  • ACSI designatory letters

“I believe this qualification will go a long way in establishing Compliance as a distinct

functional area within the financial sector. A recognition which is long overdue despite the

accepted importance of the function.”

Waheed Rathore MCSI, Executive Vice President, Group Chief Compliance Officer & MLRO

Risk Management Group, Abu Dhabi Commercial Bank

Syllabus

  1. The International Regulatory Environment
  2. The Compliance function
  3. Managing the risk of financial crime
  4. Ethics, Integrity and Fairness
  5. Governance, Risk management and Compliance

PROGRESSION

Investment Operations Certificate (IOC)

The Global Financial Compliance exam also forms part of the CISI’s globally recognised IOC. Once you have successfully passed the exam you can progress your studies by completing another two units to achieve the full IOC qualification. Visit cisi.org/ioc

Diploma in Investment Compliance

This qualification equips candidates with the knowledge and understanding of the financial services regulatory environment and the confidence to enforce regulatory compliance within their firm.