ENSURING COMPLIANCE, INTEGRITY AND FAIRNESS.
The financial services profession is heavily regulated, and relies on strong compliance to operate ethically – with integrity and fairness.
Developed by the Chartered Institute for Securities & Investment (CISI), this course will provide the context, skills and knowledge you need to develop your compliance career, or build your compliance awareness within your current role.
What you will learn
By the end of the course you will be able to:
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Explain the regulatory environment and the roles of both local and international regulators.
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Explain how to implement and manage a successful compliance function.
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Define financial crime and manage the risk.
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Explain the importance of ethics, integrity and fairness in the financial services industry.
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Explain how corporate governance, risk and compliance are essential to the financial services industry.
Course Structure
Delivered: Online, enrolment 12 months.
Time requirement: Generally completed within 6 months.
Course prerequisites: None.
Assessment: An online, two-hour, 100-question multiple choice exam (pass mark 75%).
Outcome: A statement of attainment issued by FINSIA and the Chartered Institute for Securities & Investment (CISI).
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