Compliance
Course
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Developing a Risk-Based Compliance Monitoring Programme
21 - 23 Sep 2020Virtual -
The Role of the Compliance Officer
29 - 30 Sep 2020Virtual -
The Compliance Officer Refresher
08 Oct 2020Virtual -
Market Abuse Workshop
28 - 29 Oct 2020Virtual -
Introduction to TCF and Conduct eLearning
Online Course -
CISI - Global Financial Compliance
In-house -
Compliance and Derivatives
In-house -
Compliance and Equities
In-house -
Compliance and Fixed Income
In-house -
Compliance and FX/Commodities
In-house -
Compliance Risk in OTC Derivatives
In-house -
Conduct and Culture Workshop
In-house -
Conflicts of Interest Workshop
In-house -
Corporate Governance Essentials for Compliance
In-house -
Diploma Series - Corporate Governance and Dealing with the Boardroom
In-house -
Diploma Series - Effective Compliance Leadership
In-house -
Diploma Series - Risk for Compliance Officers
In-house -
Risk Management Essentials
In-house -
The Compliance Graduate Programme
In-house -
Writing an Effective Compliance Report
In-house
AML & Financial Crime Prevention
Course
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AML - A Practical Introduction for All
19 Aug 2020Virtual -
The Role of the MLRO
09 - 10 Sep 2020Virtual -
Client Onboarding & Risk Based CDD Workshop
16 - 17 Sep 2020Virtual -
Sanctions Compliance Workshop
23 - 24 Sep 2020Virtual -
Trade Based Money Laundering & Terrorist Financing
07 - 08 Oct 2020Virtual -
Suspicion Reporting Workshop
21 Oct 2020Virtual -
AML Risks in Correspondent Banking
03 Nov 2020Virtual -
The MLRO Refresher
03 Nov 2020Virtual -
AML Awareness eLearning
Online Course -
AML Risks in Trade Finance
None Scheduled -
Fraud Prevention eLearning
Online Course -
Market Abuse eLearning
Online Course -
AML Client Monitoring Workshop
In-house -
AML Risk Methodology & Assessment Workshop
In-house -
AML Update for Directors and Senior Managers - 60 Minute Briefing
In-house -
AML/CTF Typologies and Red Flags Workshop
In-house -
Anti Bribery & Corruption Awareness
In-house -
Anti-Bribery & Corruption (ABC) Workshop
In-house -
CISI - Combating Financial Crime
In-house -
CISI - Managing Cyber Security
In-house -
Diploma Series - Advanced Skills in Combating Financial Crime
In-house -
Fraud Prevention Awareness
In-house -
Fraud Prevention Workshop
In-house -
The AML & FCC Graduate Programme
In-house -
The CTF Intelligence Simulation
In-house
Senior Managers & Certification Regime (SM&CR)
Course
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Senior Management Responsibilities & the SM&CR
21 Sep 2020Virtual -
Introduction to the SM&CR eLearning
Online Course -
SM&CR Conduct Rules eLearning
Online Course -
Senior Management Briefings
In-house -
Senior Management Functions (SMF) Interview Coaching
In-house -
SM&CR - Conduct Rules Briefings
In-house
FCA Regulations
Course
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AML - A Practical Introduction for All
19 Aug 2020Virtual -
Introduction to FCA Regulation & the Conduct Rules
08 Sep 2020Virtual -
Financial Promotions Workshop
18 Sep 2020Virtual -
Senior Management Responsibilities & the SM&CR
21 Sep 2020Virtual -
Client Assets Workshop
23 Oct 2020Virtual -
Market Abuse Workshop
28 - 29 Oct 2020Virtual -
Introduction to CASS eLearning
Online Course -
Introduction to TCF and Conduct eLearning
Online Course -
Market Abuse eLearning
Online Course -
MiFID II – Getting Your Firm Ready
None Scheduled -
MiFID II - Overview & Impact
None Scheduled -
MiFID II eLearning
None Scheduled -
Whistleblowing eLearning
Online Course -
Approved Persons - 60 Minute Briefing
In-house -
Authorisation and Approved Persons
In-house -
Best Execution Workshop
In-house -
CASS Operational Oversight
In-house -
CISI - Client Money and Assets (CASS)
In-house -
Client Categorisation Workshop
In-house -
Conduct and Culture Workshop
In-house -
Conduct Risk
In-house -
Conflicts of Interest Workshop
In-house -
FCA Regulation of Consumer Credit in the Telecoms Market
In-house -
Overview of the Conduct of Business Rules
In-house -
Senior Management Functions (SMF) Interview Coaching
In-house -
SM&CR - Conduct Rules Briefings
In-house -
Suitability and Appropriateness
In-house
Prudential Regulation
Course
Senior Management & The Board
Course
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Senior Management Responsibilities & the SM&CR
21 Sep 2020Virtual -
Introduction to the SM&CR eLearning
Online Course -
60 Minute Briefing - Directors’ and Senior Managers’ responsibilities under FCA rules
In-house -
Senior Management Briefings
In-house -
The Director Development Programme
In-house
Cybercrime
Course
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Cybercrime Awareness eLearning
Online Course -
Data Protection - GDPR eLearning
Online Course -
CISI - Managing Cyber Security
In-house -
Data Protection - A Practical Introduction for All
In-house
Front Office
Course
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AML - A Practical Introduction for All
19 Aug 2020Virtual -
Introduction to FCA Regulation & the Conduct Rules
08 Sep 2020Virtual -
Market Abuse Workshop
28 - 29 Oct 2020Virtual -
AML Awareness eLearning
Online Course -
Anti-Bribery & Corruption eLearning
Online Course -
Cybercrime Awareness eLearning
Online Course -
Data Protection - GDPR eLearning
Online Course -
Fraud Prevention eLearning
Online Course -
Introduction to TCF and Conduct eLearning
Online Course -
Market Abuse eLearning
Online Course -
MiFID II eLearning
None Scheduled -
Anti Bribery & Corruption Awareness
In-house -
Data Protection - A Practical Introduction for All
In-house -
Financial Markets Induction Programme
In-house -
Fraud Prevention Awareness
In-house
Risk Management
Course
-
Data Protection - GDPR eLearning
Online Course -
CISI - Managing Cyber Security
In-house -
CISI - Risk in Financial Services
In-house or Distance Learning -
Data Security in Financial Services Firms
In-house -
Diploma Series - Risk for Compliance Officers
In-house -
Risk Management Essentials
In-house
CISI Qualifications
The Chartered Institute for Securities & Investment offer qualifications for staff working in financial services. Learn more about the courses related to Regulatory Compliance here.
If you are looking for CISI qualifications for wealth management professionals, visit our dedicated CISI website by clicking here.
Course
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CISI - Client Money and Assets (CASS)
In-house -
CISI - Combating Financial Crime
In-house -
CISI - Global Financial Compliance
In-house -
CISI - Introduction to Securities & Investment
In-house -
CISI - Islamic Finance Qualification (IFQ)
In-house -
CISI - Managing Cyber Security
In-house -
CISI - Risk in Financial Services
In-house or Distance Learning -
CISI - UK Financial Regulation (IOC)
In-house -
CISI - UK Regulation and Professional Integrity (IAD)
In-house