Course Details

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