Global Financial Compliance

EQF Level 4

This 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.

The Global Financial Compliance addresses international issues including the international regulatory environment, managing the risk of financial crime, governance, risk management, ethics, integrity and fariness. A successful compliance function is a fundamental requireent for any effective business, in financial services it is a critical component. This programme is suitable for all compliance staff and will be especially relevant to Compliance Officers.


This programme can be taken as a stand-alone award or also with one of the following regulatory exams: FSA Financial Regulation (or) Principles of Financial Regulation (or) Maltese Financial Regulation. Upon successful completion of Global Financial Compliance and a regulatory paper, candidates will be awarded the Certificate in Global Financial Compliance.

Element 1 - The International Regulatory Environment
Element 2 - The Compliance Function
Element 3 - Managing the risk of Finanial Crime
Element 4 - Ethics, Integrity and Fairness
Element 5 - Governance, Risk Management and Compliance

Awarding Body:

Chartered Institute for Securities & Investments

Study Hours:

100 hrs Study-time (+80hrs for the regulatory unit)


2-hour paper consisting of 100 MCQs

Additional Info:



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