CISI Level 6 Diploma in Investment Compliance Qualification Success Story - PW9.ORG

The CISI (Chartered Institute for Securities & Investment) is the largest and most widely respected professional body for those who work in the securities and investment industry in the UK and in a growing number of financial centres globally.

Our CISI Level 6 Diploma in Investment Compliance qualification is designed to develop your skills, knowledge and understanding of investment compliance issues. It is suitable for new entrants to the securities profession, or those already working in a compliance role but with little or no formal training.

The qualification covers the following areas: - Conduct and supervision rules within the asset management industry - Regulation, conduct, supervision and ethics - Policies, procedures and controls - Regulatory framework - The asset management industry The CISI Level 6 Diploma in Investment Compliance is the leading qualification for senior compliance professionals working in the financial services industry.

The syllabus covers a comprehensive range of subjects including: - The UK regulatory framework, including legal and ethical frameworks, regulatory authorities and organisations

- The investment compliance function and its relationship with the wider business - Supervision, monitoring and reporting systems used within the compliance function - Compliance risks affecting the whole of an organisation's operations, including market abuse, conflicts of interest and money laundering - Managing organisational risk by developing appropriate policies and procedures to mitigate risk alongside implementing appropriate control frameworks - Product governance requirements placed on firms by retail distribution review (RDR) and MiFID II regulations - Developing a holistic view of compliance issues through interactions between functional areas such as risk management, financial crime prevention, product development and human resources

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