Global Financial Compliance Course

What is Global Financial Compliance?
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.

SCA-UAE licensing regime mandates this qualification for:

• Broker Representative

• Compliance Officer

• Anti Money Laundering Officer

• Internal Controller

• Trading Manager

• Operations Manager

• Risk Management Officer

• Financial Analysts

• Investment Managers

• Chief Investment Officers

• Promoters, CEOS, Directors, Branch Managers

• Fresh Graduates/New entrants/Staffs looking to enter the financial services/investment industry

Exam Syllabus/Course Outlines

• Topics & No of Questions:

• The International Regulatory Environment – 20

• The Compliance Function – 24

• Managing the Risk of Financial Crime – 20

• Ethics, Integrity and Fairness19

• Governance, Risk Management and Compliance – 17

• Total – 100

Exam Formats

• 2 Hours exam-CBT test-100 MCQ

• Pass marks-70%

• Pass rate-60%

• Recommended study-100 hours

• Can be taken any time of the year

• Prometric Centers-Dubai & Abu Dhabi

• Result declaration online-within 24 hours

Benefits of this qualification/certification

• Global recognition

• High level of competence

• Specialization in the course

• Full study resources

• CISI Student membership