Advanced Diploma in Investment Compliance
We are proud to announce the most comprehensive programme for compliance professionals. This programme builds on the success of the Diploma in Capital Market Regulation and Compliance, launched in 2005 by the University of Reading and FINRA, by embedding the most successful UK industry qualification - the CISI Diploma in Investment Compliance - within an enhanced training programme for Compliance professionals.
The new programme:
- Has a highly structured programme with a consistent and rigorous syllabus,
- Is aimed at middle and senior level compliance officers
- Offers an industry leading qualification
- Provides a certified qualification
- Is examined and assessed to a high and recognised standard
- Is led and delivered by compliance professionals
The new two-part structure is designed to combine the distinctive and heavily industry-oriented approach taken by the FINRA/University programme and the more structured and internationally recognised framework offered by the CISI.
Course Structure
This new programme is divided into two sections.
Part A
Part A is the CISI Diploma in Investment Compliance. This Diploma is widely acknowledged as the most appropiate qualification for staff wishing to pursue a career in compliance. This specialist qualification offers staff a means of demonstrating their knowledge and recognising the importance of compliance in the industry. It comprises comprehensive coverage of the knowledge and skills required by today's compliance professionals.
Part B
Part B is a series of short courses building advanced expertise in compliance. These are designed to build on the competencies obtained at Part A by considering advanced issues in compliance, topics relating to particular asset markets and additional material of professional relevance to more senior compliance officers. This ICMA Centre programme will be promoted by the CISI as a recommended follow-on to the Diploma in Investment Compliance. As with its Part A provision, the new Advanced Programme will be seminar based, and led and delivered by industry professionals.
Please note that each part leads to a separate award and successful completion of both parts will lead to the Advanced Diploma in Investment Compliance.
Course Modules
Advanced Compliance Skills 22-24 September 2010
Advanced Compliance Communication 24-26 November 2010
Trading and Risk Management for Compliance Officers 12-14 January 2011
Advanced Compliance Management 23-25 March 2011
Certification
Certification for this programme will be awarded by the ICMA Centre of the University of Reading. An annual prize for the best performance in this programme will be awarded at the CISI awards ceremony.
Teaching Method
Class sizes will be limited to 30 and the teaching style will be a mixture of presentation, seminar style discussion and case study. Each module will be accompanied by an optional examination.
Course Trainer
The Programme leader will be Peter Haines. Peter has well over twenty years' experience in the field of regulation and compliance. A chartered accountant, Peter spent six years working with the SFA (and predecessor organisations) and has headed up regional and global compliance functions at Paribas, UBS Investment Bank and Bank of America. In 2006, he set up his own consultancy firm, specialising in providing general regulatory, governance and compliance advice and training to banks, brokers, hedge fund managers, compliance officers and regulators. Peter was Chairman of the Securities Houses Compliance Officers Association and is Chair of the Steering Committee developing the British Standards Institute's work on the financial services compliance framework and function.
Venue
Modules 1-3: London, UK
Module 4: ICMA Centre, University of Reading, UK
Fees
£1,350 per module (VAT exempt)
Assessment
Optional graded examination for each module. Each module will attract a certificate of attendance or grade.
Further Information
To register for your place, visit our registration system.
