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Contribute to the compliance function with an understanding of the techniques to implement a successful compliance function by developing the ability to explain the regulatory environment and the importance of acting with ethics, integrity and fairness.

By the end of this course you will 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.

Total Program Fee

AU$555.00
15.50 KB
Download our brochure to learn more
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Online flexibility

Start anytime and develop your skills at your own pace and from any location.

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Entry requirements

Suitable for everyone who wants to develop specialist skills in Risk & Compliance.

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Course duration

Typically 3 to 6 months duration depending on level of education and experience.

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Accredited by the Chartered Institute for Securities & Investment (UK)

The CISI is the leading professional body for securities, investment, wealth and financial planning professionals. 

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Internationally recognised

Be recognised as an international specialist.

What’s Included

A PDF workbook

A comprehensive PDF workbook providing core learning materials and case studies to help you build your capability.

Exam fees

Computer-Based testing exam fees (re-sits incur additional cost).

Access to a learning platform

The course is all online and you will be provided access to CISI learning platform.

Access to Revision Express

Multiple choice questions at the end of each chapter to confirm your understanding.

The learning experience is

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Online Learning

Start anytime from any location at your own pace.

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Interactive

Stimulating interactive learning experience with a hands-on approach. 

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Engaging

Access an extensive suite of engaging learning materials.

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Industry Led

Developed in consultation with senior industry practitioners. 

What do I get when I complete the course?

A statement of attainment is available from FINSIA and The Chartered Institute for Securities & Investment (CISI) based in the UK.

Kate McCallum F Fin

Kate McCallum F Fin

Director and Advisor, Multiforte Financial Services

It’s exciting to work with the team at FINSIA that has a real focus on developing new ways of building capability and professionalism within the banking sector. Having a passion to think differently and to focus on what developing people will mean in terms of better customer experience will help restore trust and pride in the sector. That’s why I see such value in the collaboration between FINSIA and the Chartered Banker Institute to develop a suite of qualifications that fit the aspirations of people strategies and also work to build up credits towards Chartered Banker status.

Grant Cairns

Grant Cairns

CBA Executive General Manager Regional and Agri Business

In terms of mindset, I think the Chartered Banker is excellent in that it hones your focus on your accountabilities as a banker particularly with respect to customer outcomes, understanding your compliance and regulatory obligations and having ethical frameworks to apply sound judgement.

As Chartered Bankers, I think we are well placed to role model professional standards in the industry amongst those we lead and work with.

Victoria Weekes

Victoria Weekes

Independent Chair of OnePath Custodians

FINSIA, its members and staff, have a fabulous history of being leading advocates, thought leaders and drivers of professional standards.

At a time when the financial services industry is facing unprecedented change, with heightened community expectations, a challenging competitive environment and regulatory landscape, building professionalism across our industry and supporting our members to be the best they can is critical.