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.
DurationWhat 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
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