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 base 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;
  • 12 months free FINSIA Affiliate membership if it’s your first enrolment to this course and haven't been a member previously.


$555 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, you are eligible to take professional qualifications such as:

  • Investment Operation Certificate (IOC)