CISI Global Financial Compliance Qualification Success Story - PW9.ORG

The CISI Global Financial Compliance Qualification is an essential qualification for anyone working in compliance, as well as other support staff like legal teams, audit or risk functions.

Our qualification provides an overview of financial crime and the role of a compliance professional in preventing it. The Global Financial Compliance Qualification will: Enhance your knowledge of the regulatory environment and its impact on compliance Provide you with an understanding of the different criminal threats facing financial services firms and how to identify them Enable you to recognise the importance of a strong compliance culture and ethics within a business Demonstrate your ability to meet regulatory requirements and maintain high standards of conduct within the industry.

Who is it suitable for?

Are you looking to start or progress your career in financial services? Do you want to develop your understanding and knowledge of the role of a compliance professional? If so, this is the ideal qualification for you.

The financial industry has been undergoing a period of change and uncertainty, following the financial crash in 2007. The global qualification framework has been adjusted and clarified, alongside a new regulatory regime which has come into force. The CISI Global Financial Compliance (GFC) module is designed to address these changes.

The GFC module focuses on the regulation of the financial markets, with a particular emphasis on the UK retail market. It deals with the new regulatory regime and how it impacts on advisers and those who need to understand their responsibilities for ensuring compliance.

The module will consider the role of the Financial Conduct Authority (FCA), which was formed from the Financial Services Authority (FSA). It will examine its powers, how it enforces its rules, what it expects from firms and individuals and how firms can demonstrate good governance.

This part of the course also looks at how firms can improve customer outcomes by having appropriate policies in place, such as client classification and dealing with vulnerable clients.

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