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Enhance your skills with the new Advanced Diploma in Investment Compliance

Investment Compliance The ICMA Centre has a well established expertise in Investment Compliance. We have long recognised and advocated the importance of robust regulatory and compliance policies in financial institutions. This and the level of demand by banks and finance houses for well-trained compliance professionals has led to the Centre running a suite of regulation and compliance executive education programmes both in the UK and around the world. Our corporate clients in the UK include many of major banks such as Deutsche, JPMorgan, Morgan Stanley and Commerzbank. Overseas we have worked with several Central Banks including Serbia and Montenegro, Dubai and Egypt, as well as large corporates in Spain and the Nordic region.

Advanced Diploma in Investment Compliance

Developed in consultation with a panel of banks and financial instititutions, this Advanced Diploma in Investment Compliance is offered in partnership with the Chartered Institute of Securities and Investment (CISI)

Bespoke Programmes

We can put together a programme to suit your needs and run it either in-house or here at the Centre. Led and delivered by compliance professionals, all our training courses are pragmatic and provide delegates with a practical solutions to the challenges faced by compliance departments.

The majority of our courses are designed for middle and senior level compliance officers, however we can provide introductory level courses for your graduate trainees and non-compliance staff who may require a basic knowledge of regulation and compliance.

Sample Courses

Below you will find a sample list of areas we have included in previous courses, but this list is by no means exhaustive:

  • Anti-Money Laundering Issues
  • Market Abuse Issues
  • Communicating Compliance
  • How to build and develop a world class Compliance Function
  • Conflicts of Interest
  • Influencing and Negotiation Skills for Compliance Officers
  • Advanced Risk Management for Compliance Professionals
  • Trading and Compliance
  • Current Regulatory and Compliance Challenges in Investment Banking

Contact Us

For more information about how we can help you with your regulatory and compliance training requirements please call Leanne Ley on +44 (0)118 378 8239 or email

Published 30th April 2010