Develop your knowledge, secure your firm.
The role of the financial services compliance professional is growing in importance. The changing regulatory environment has determined the critical part these individuals play in helping to ensure success for their firms. The challenges compliance staff face mean it is vital they have the right knowledge and skills, and the Diploma in Compliance can help meet these needs. The programme is a benchmark qualification, illustrating the best standards in compliance practice. Attainment of the Diploma is a recognized mark of excellence. It delivers what compliance representatives need to know in order to understand his or her
responsibilities. Those who complete the Diploma find that their performance in the workplace improves and opportunities for career progression are enhanced.
Entry Requirements
• Completed Bachelor Degree (BCS) in Banking or equivalent professional education or
• Relevant work experience
• Reasonable command of spoken and written English
Programme Structure
T his programme can be completed during one academic year and consists of two compulsory modules, with a diploma being awarded upon successful completion of the course :
Programme Content
Diploma Programme Summary: The Diploma in Compliance is comprehensive and reflects the external environment today. The programme focuses on relevant international best practice, legislation and regulations. It examines the role of key players and the importance of developing networks. It focuses on current major issues that impact upon the compliance role such as financial crime and MiFID.
CM 01: Anti Money Laundering |
| Chapter 1 |
1.1 |
Understanding the Regulatory Environment |
1.2 |
Regulatory Structure |
1.3 |
Understanding the Regulatory Environment |
CM 02: Compliance |
| Chapter 2 |
2.1 |
The Role of the Compliance Officer |
2.2 |
Risk Management |
2.3 |
Designing an Internal Compliance System |
2.4 |
Corporate Social Responsibility |
2.5 |
Promoting the Benefits of Compliance |
2.6 |
The Role of the Compliance Officer |
2.7 |
Risk Management |
2.8 |
Designing an Internal Compliance System |
CM 03: Financial Crime Prevention |
| Chapter 3 |
3.1 |
Financial Crime - Managing the Risk of Money Laundering and Terrorist |
3.2 |
Financial Crime - Market Fraud, Insider Dealing and Fraud Prevention |
3.3 |
Investigations, Enforcement and Production Orders |
Programme Learning Outcomes
On successful completion of the Diploma, all will have a clear understanding of the compliance function and the surrounding context. The knowledge gained can be used to measure their business practices and tailor them to meet future challenges. All will have a wider awareness of the international arena in readiness for future development.
