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CISI Global Financial Compliance

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European Institute of Management and Finance

Summary

Price
£200 inc VAT
Study method
Online, self-paced
Duration
14 Hours
Access to content
Access until course completion
Qualification
No formal qualification
Additional info
  • Certificate of completion available and is included in the price

1 student purchased this course

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Overview

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.

Course media

Description

This course covers all the key aspects of compliance. It is globally portable, addressing international issues and reflecting the needs of a worldwide market.

Syllabus

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
  • Fair dealing

Governance, Risk Management and Compliance

  • Corporate governance
  • Key risk types, their application and impact on the compliance function

By the end of the course, participants will have an international understanding of:

  • Models of regulation
  • The international approach to regulation
  • The national approach to regulation
  • International best practices
  • The role of the compliance function within a firm
  • Managing regulatory relationships
  • Money laundering, terrorist financing and the standards required of firms
  • Practical implications
  • Policies, procedures, and controls
  • Ethics, market integrity, fair conduct, and fair dealing
  • Corporate governance
  • Key risk types, their application, and impact on the compliance function

Who is this course 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.

Requirements

None

Career path

Work in the Financial Industry in compliance

The compliance department of a bank, brokerage or investment management firm works to ensure that all of the employees and officers comply with relevant regulations.

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