Understand the techniques to implement a successful compliance function in company and provides a comprehensive introduction to all the issues a global Compliance Officer may encounter.


  • Delivery: Self-paced online Learning – Start anytime and develop your skills at your own pace and from any location
  • Entry: No educational or experience requirements
  • Duration: Average of 6 months to complete, up to a year
  • Program fees: $555

This course has been designed by the leading professional body for securities the CISI (The Chartered Institute for Securities & Investment based in the UK) and tailored to the Australian market by FINSIA.

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Global financial compliance




Big picture

The big picture

Contribute to your company's compliance function by being able to explain the regulatory environment and the importance of acting with ethics, integrity and fairness.






Skills, Tools, & Strategies

Learn about models of regulation, how to manage regulatory relationships, policies, procedures and be able to contribute to your organisation’s compliance strategy.





International specialist

Be recognised as an international specialist

Develop your understanding of the roles of both local and international regulators, global issues and the needs of a worldwide market.



Is this course right for me?

This course is suitable for:

  • All compliance staff and especially relevant for Compliance Officers; 
  • Any individual who wants to develop specialist skills in global financial compliance.

What are my learning outcomes?

By the end of this course, you should be able to:

  • Explain the regulatory environment and the roles of both local and international regulators. 
  • Explain how to implement and manage a successful compliance function.
  • Define financial crime and manage the risk.
  • Explain the importance of ethics, integrity and fairness on the financial services industry.
  • Explain how corporate governance, risk and compliance are essential to the financial services industry.

What is included when I enrol in this course?

  • A PDF workbook;
  • Access to Revision Express, with multiple choice questions at the end of each chapter to confirm your understanding;
  • Computer-Based testing exam fees (re-sits incur additional cost);
  • 12 month FINSIA Affiliate membership is included if it is your first enrolment to this course and you haven't been a member previously. FINSIA membership gives you access to a wide network of professionals, as well as access to a library of online resources, exclusive publications and high-value events.


$555 AUD

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Prepare with our partner Fitch Learning

Enhance your studies and receive the guidance you need with FINSIA education partner Fitch Learning’s online training. As a global leader in financial information services with operations in more than 30 countries, Fitch really knows what it takes to pass professional qualifications. 

FINSIA’s agreement with Fitch gives you access to its Online Portal and Mobile App and benefit from a wealth of study resources written by Fitch Learning’s Instructor Facult. 

The portal includes:

  • Class recordings - watch, pause and rewind so you can study at your own pace;
  • Downloadable course slide pack - including instructor notes;
  • Hundreds of constantly updated practice questions to help you keep on top of your learning;
  • Embedded diagnostic tools with a traffic light system to show how you are progressing and whether you are likely to pass;
  • Helpdesk - you will always get a prompt response from the expert instructors who are on hand to support you through your studies;
  • Email-a-day - bite-sized practice questions delivered to your inbox from the day you enroll until the day you take the exam.

Fitch Learning, a Premier Training Partner with Chartered Institute for Securities and Investment (CISI), runs eight of the organisation’s courses in the Asia Pacific region - plus many more in Europe. This reflects the high quality level of training, products and services that Fitch Learning provides towards the CISI examinations. Should you choose to use their study portal, your studies will be a partnership between you and Fitch Learning, with a mutual commitment to exam success.



$580 AUD

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Why study with Finsia

Why study with FINSIA?

  • Internationally recognised* qualifications developed by senior industry experts
  • Full support provided
  • Access an extensive online library of Continuous Professional Development materials
  • Not-for profit membership body operating for over 130 years to benefit financial services professionals, consumers and society

Further professional qualifications

To further expand your knowledge upon completion of this course, FINSIA has a range of professional qualifications covering all areas of financial services.