How you’d get this certificate
- Zavmo teaches you. You learn the units one-to-one with an AI tutor, on your own work.
- You register with an approved centre. That is a college, training provider or employer Chartered Institute for Securities & Investment has approved to offer this qualification. Zavmo is not an approved centre, so you register with them, not with us.
- The centre assesses, and Chartered Institute for Securities & Investment awards. A qualified assessor at the centre judges your evidence, and the certificate comes from Chartered Institute for Securities & Investment.
The CISI Level 3 Certificate In Global Financial Compliance provides an understanding of financial regulation in the UK and internationally. It is aimed at individuals working in, or aspiring to work in, the accounting and finance sector. Learners will develop knowledge of the financial services regulatory environment.
These are the units Chartered Institute for Securities & Investment registers against this qualification. It is a catalogue, not a syllabus. Which of them you take depends on the combination the qualification requires, and that is set by the awarding body rather than by us. Every unit here is regulated. Zavmo teaches towards them on your own work.
Zavmo is not an awarding body, is not an approved centre, and is not affiliated with Chartered Institute for Securities & Investment. It does the teaching and the mapping. Chartered Institute for Securities & Investment sets this qualification and awards it, and a qualified human assessor makes the assessment decision.
What each unit actually teaches you to do
FSA Financial Regulation Real unit · Chartered Institute for Securities & Investment
What you'll be able to do
- Understand the role and responsibilities of the Financial Services Authority (FSA) within the regulatory infrastructure.
- Understand the key provisions and implications of the Financial Services and Markets Act 2000.
- Understand associated legislation and regulation relevant to financial services.
- Understand the impact of relevant European Union Directives on financial regulation.
- Understand the key principles of the FSA Conduct of Business Sourcebook and regulations concerning client assets.
- Understand the procedures for handling customer complaints and providing redress.
Global Financial Compliance Real unit · Chartered Institute for Securities & Investment
What you'll be able to do
- Understand the key aspects of the international financial services regulatory environment.
- Understand the international approach to financial regulation and its objectives.
- Understand the purpose and key responsibilities of the compliance function within a financial organisation.
- Understand how the risk of financial crime is identified, assessed, and managed within a global context.
- Understand the importance of ethics, integrity, and fairness in financial services and the role of compliance in promoting these values.
- Understand the role of compliance in the context of corporate governance and risk management frameworks.
Principles of Financial Regulation Real unit · Chartered Institute for Securities & Investment
What you'll be able to do
- Understand the main features of the UK regulatory environment for financial services
- Understand the purpose and key provisions of the Financial Services and Markets Act 2000
- Understand associated legislation and regulation relevant to financial services
- Understand relevant European Union Directives impacting financial services regulation in the UK
- Understand the key principles of the FSA Conduct of Business Sourcebook and its application
- Understand the regulations relating to Client Assets
UK Financial Regulation Real unit · Chartered Institute for Securities & Investment
What you'll be able to do
- Understand the financial services regulatory environment in the UK
- Understand the Financial Services and Markets Act 2000
- Understand Associated Legislation relevant to financial services
- Understand Regulation relevant to financial services
- Understand the FCA Conduct of Business Sourcebook
- Understand the regulations relating to Client Assets
- Understand the procedures for handling Customer Complaints
- Understand the processes for Customer Redress
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Is this the right qualification for you?
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The national standards these units are built against
What the job actually needs, in the words employers and awarding bodies already use for the work itself.
- Standard
Analyse the regulatory requirements and principles that impact on the design or revision of a Training and Competence Scheme
The jobs these credits are mapped to
A qualification is never a dead end here. Each of these is a job record this qualification is a mapped route into.
- 1 record
- 1 record
- 1 record
- 2 records
- 2 records
- 1 record
Showing 6 roles, drawn from 174 job records mapped to this qualification. Near-identical records are folded together, and each row says how many it stands for.
Where this can lead
Global Compliance Officer
This work can lead to managing a compliance team, then directing compliance strategy for a business line or region, and on to setting compliance policy across a whole organisation.
See the whole journeyOne email to help you decide: the facts, what it teaches, the jobs it leads to and where to start free. With a link back here. Nothing else follows unless you confirm your address.
The credits, and who awards them
Level 3 credits are regulated, and they are awarded by Chartered Institute for Securities & Investment rather than by Zavmo. They don’t vanish when a subscription ends or a website closes. They travel to any employer, and Zavmo keeps the map of what you have covered and what is next.
What you would be collecting
FSA Financial RegulationGlobal Financial CompliancePrinciples of Financial RegulationUK Financial Regulation
Each one is a real unit registered against this qualification.
How you’d practise it
You don’t watch this. You do it.
You are not assessed on remembering this. You are assessed on applying it, analysing it, evaluating it and producing something. So that is what the practice is: projects, role play and your own live cases, with a tutor in the room.
The Practical Builder · your make-it-real tutor Illustration - Draft the real one Create
You do “FSA Financial Regulation” on a real document of your own. Zavmo works on the draft you have to send anyway, so the coursework and the job are the same piece of work.
How you would learn this
One to one, on the work you already do
A tutor sets the task against your own job and marks the reasoning, at your pace. There is no cohort to fall behind.
A lesson from FSA Financial Regulation, one of this qualification's own units.
Applied to your work in any of these jobs
This unit provides learners with knowledge of the Financial Services Authority's role within the regulatory infrastructure. Learners will explore the FSA's responsibilities, objectives, and key provisions of the Financial Services and Markets Act 2000, including associated legislation and directives.
- 1 Remember
- 2 Understand
- 3 Apply
- 4 Analyse
- 5 Evaluate
- 6 Create
It is £70 a month, billed monthly. Your free first module is Future Fluency, and you can cancel any time. Teaching towards this qualification begins when you subscribe.
Built for CISI Level 3 Certificate In Global Financial Compliance
4 units in this credential, in the order it lists them, awarded by Chartered Institute for Securities & Investment.
- FSA Financial Regulation
- Global Financial Compliance
- Principles of Financial Regulation
- UK Financial Regulation
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The title, level, credits, guided learning hours and unit learning outcomes on this page are taken from the Ofqual Register of Regulated Qualifications. Contains public sector information licensed under the Open Government Licence v3.0. Where this data comes from.