CISI 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.
Is the CISI Diploma in Investment Compliance right for me?
The CISI 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.
Key features of the CISI Diploma in Investment Compliance:
- Specialist qualification – developed specifically for compliance professionals wanting to pursue a senior management role
- Provides comprehensive coverage of regulatory, specialist and advanced aspects of compliance
- Consolidates knowledge gained from Combating Financial Crime, Global Financial Crime and Risk in Financial Services
- Free CISI Student membership – become associated with a chartered professional body and take advantage of an extensive range of benefits
- Access to full membership of the Institute and MCSI designatory letters
Entry for the CISI Diploma in Investment Compliance requires you to have completed and passed the CISI Introduction to Securities and Investment (or International Introduction to Securities & Investment).
The CISI Diploma in Investment Compliance is achieved by successfully passing three units as listed below.
It is regulated by Ofqual as a level 6 qualification. On the European Qualifications Framework, this equates to a level 6 qualification.
Obtaining the CISI Diploma in Investment Compliance qualification entitles candidates to join The Chartered Institute of Securities and Investment at MCSI Member level. As a member of The Chartered Institute of Securities and Investment, you will enjoy the recognition of being a professional in a world of increasing competition. The extensive continuing professional development (CPD) opportunities available through the CISI’s suite of membership benefits ensures financial services practitioners can maintain competence and meet the requirements of firms and the regulator.
Books for self-study:
- UK Regulation and Professional Integrity
- IOC Global Financial Compliance
- IOC Combating Financial Crime
- Risk in Financial Services by Chartered Institute for Securities and Investment
- Regulation and Compliance by Chartered Institute for Securities and Investment
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