CISI Risk and Compliance Qualifications will provide you with specialist knowledge and expertise to foster a strong career in global financial compliance, financial crime, governance and risk management or regulation and compliance.
New entrants to the industry choose to start with Fundamentals of Financial Services or the Foundation Qualification – Introduction to Investment, before choosing a technical subject or considering the Investment Operations Certificate (IOC) and then continuing on to pursue our higher level specialist qualification, the Diploma in Investment Compliance.
In the Foundation Level,
- The CISI Level 2 Award in Fundamentals of Financial Services is an important first step in developing the essential basic knowledge required for working in financial services. You will learn about the industry and commonly used financial products, such as shares, bonds and insurance and it will provide you with an understanding of financial terminology. It is ideally suited to new or junior employees working in financial services. It is also appropriate for school leavers who are considering a career in finance.
- The CISI Level 3 Award for Introduction to Investment offers a comprehensive introduction to the financial services industry, with a specific focus on investments. It is the foundation exam for many higher level CISI qualifications. The qualification covers key financial principles and products in depth including assets and markets, equities, bonds, derivatives and investment funds. It explores the broader economic environment in which the financial services industry operates and looks at how economic activity is determined and managed in different economic and political systems. The qualification offers the first introduction to financial services regulation and ensures candidates are provided with an understanding of ethical behaviour and acting with integrity. It is suitable for new entrants to the industry and staff who are beginning their career in financial services. The broad topics covered to make the qualification suitable for all staff, not just those responsible for making investment decisions, including administration, finance and accounting, IT, customer services, sales and marketing and HR and training. The International Introduction to Investment has a specific focus on investments from a global perspective.
In the Qualification Level,
- The CISI Level 3 Award in Global Financial Compliance will provide you with a broad understanding of the compliance issues that arise within the financial services industry. The qualification addresses techniques used to implement a successful compliance function in a bank and provides a comprehensive introduction to all the issues a global Compliance Officer may encounter. It explores the international regulatory environment, managing the risk of financial crime, governance, risk management, ethics, integrity and fairness.
Global Financial Compliance is suitable for all compliance staff and will be especially relevant for Compliance Officers. 
The CISI Level 3 Award In Risk in Financial Services offers a comprehensive global introduction to the major risk areas in financial services. It addresses international issues, reflecting the needs of a worldwide market, and provides a sound grounding in the principles of the risk management framework, corporate governance and risk oversight. It covers specific techniques used in identifying, reducing and managing operational risk, credit risk, market risk, investment risk and liquidity risk. Risk in Financial Services is suitable for risk and compliance teams, branch management, corporate lawyers, finance officers, senior managers of all disciplines and existing and aspiring non-executive directors.- The CISI Level 3 Award in Combating Financial Crime, developed in collaboration with QCo, provides a global view of the transnational crime. It illustrates practical defences, includes the Bribery Act (2010) and focuses on how laws, regulations and best practice continue to evolve across the entire spectrum of associated activities. It covers the background and nature of the financial crime, money laundering, terrorist financing, and corruption; combating financial crime, bribery and the role of the private sector. Combating Financial Crime is suitable for compliance officers and money laundering reporting officers, those involved in regulation, law enforcement, trade and commerce and individuals from bilateral development institutions and civil society organisations.
- The CISI Level 3 Award in Managing Cyber Security is a brand new qualification developed to provide candidates with a basic knowledge of the threat of cyber crime. Candidates will be able to evaluate the risks to the financial services industry and develop effective security solutions to prevent, detect and mitigate cyber attacks.The scope of the syllabus makes the qualification suitable for Compliance Officers and Money Laundering Reporting Officers, those involved in regulation, law enforcement, trade and commerce and individuals from bilateral development institutions and civil society organisations. Cyber crime can affect all parts of financial institutions and individuals from various roles will benefit from undertaking this unit.
In the Professional Level,
- The CISI Level 6 Diploma in Investment Compliance is a global qualification that offers a clear career pathway for compliance specialists and practitioners. Achieving this qualification will provide you with the confidence of possessing a thorough understanding of the financial services regulatory environment both in the UK and internationally. The Diploma in Investment Compliance is suitable for practitioners who are wishing to pursue a career in compliance and, in particular, those employed at a supervisory level aspiring to a senior management role. It is suitable for those working in both wholesale and retail.