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.
Specialist qualification – developed specifically for compliance professionals wanting to pursue a senior management role Provides comprehensive coverage of regulatory, specialist and advanced aspects of compliance Consolidates knowledge gained from Combating Financial Crime, Global Financial Crime and Risk in Financial Services Free CISI Student membership - become associated with a chartered professional body and take advantage of an extensive range of benefits Access to full membership of the Institute and MCSI designatory letters Exams available online via remote invigilation or at one of our global test centres Qualification factsheet
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, and work done here is recognised as prior learning under the agreements we hold.
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.
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The free part is a Future Fluency lesson on using AI at work. It is not part of this qualification. Next, a free account. We build your plan for this qualification as you set up. Teaching towards this qualification begins when you subscribe.
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What each unit actually teaches you to do
Combating Financial Crime Real unit · Chartered Institute for Securities & Investment
What you'll be able to do
- Explain the background and nature of financial crime in the UK and the international context, and the different approaches to combating it.
- Explain the nature of predicate offences.
- Explain money laundering in both the UK and the international context, and the measures in place to combat it.
- Explain the nature of terrorist financing in its global context, and the measures in place to combat it.
- Explain the nature, significance and impact of corruption, and the measures in place to combat it.
- Explain the nature of bribery and the measures in place to combat it in the UK and the United States.
- Describe governmental and quasi-governmental approaches to combating financial crime.
- Explain the role of the private sector in combating financial crime.
Combating Financial Crime Real unit · Chartered Institute for Securities & Investment
What you'll be able to do
- Understand the regulations designed to combat financial crime within the financial services industry
- Understand the practices employed to prevent and detect financial crime
- Understand the reporting requirements related to suspected financial crime
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.
Regulation & Compliance Real unit · Chartered Institute for Securities & Investment
What you'll be able to do
- Understand the legal, regulatory and ethical framework of the UK financial services industry
Risk in Financial Services Real unit · Chartered Institute for Securities & Investment
What you'll be able to do
- Understand the general principles of business risk management
- Understand the key risks that arise within the financial services industry
- Understand the approaches used to identify risks in financial services
- Understand the approaches used to manage risks in financial services
- Understand the approaches used to reduce risks in financial services
Risk in Financial Services Real unit · Chartered Institute for Securities & Investment
What you'll be able to do
- Understand the principles of the risk management framework
- Understand international risk regulation
- Understand operational risk
- Understand Credit Risk
- Understand Market Risk
- Understand Investment Risk
- Understand Liquidity Risk
- Understand the role of corporate governance in risk oversight
- Understand model risk
- Understand Enterprise Risk Management (ERM)
UK Regulation & Professional Integrity Real unit · Chartered Institute for Securities & Investment
What you'll be able to do
- Understand the UK financial services industry within the global economy, including its structure, key players, and role in economic growth.
- Understand UK financial services and consumer relationships, including the rights and responsibilities of both providers and consumers of financial services.
- Understand relevant legal concepts as they relate to financial advice, including contract law, tort law, and agency law.
- Understand UK trusts, including their different types, uses, and tax implications.
- Apply ethical standards, professional codes of conduct and professional ethics within the context of financial services, ensuring integrity and acting in the best interests of clients.
- Understand how the UK financial services are regulated, including the roles of the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA).
- Understand the supervisory objectives, principles and processes of the Financial Conduct Authority and the Prudential Regulation Authority, including their approach to risk-based supervision.
- Comply with the regulatory obligations relating to regulated activities, firm authorisation and approved persons, ensuring adherence to FCA and PRA rules.
- Comply with the legal and regulatory obligations relating to financial crime, including money laundering, terrorist financing, and fraud.
- Ethically apply the regulatory framework as it relates to complaints and compensation, ensuring fair treatment of customers and compliance with the Financial Ombudsman Service (FOS) and the Financial Services Compensation Scheme (FSCS).
- Understand how to treat customers fairly when providing advice and services in accordance with the FCA regulatory framework, ensuring transparency, clarity, and suitability.
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
Assess and Review the Compliance Risks Relevant to Your Organisation
- Standard
Assess business strategy and commercial risks that a Training and Competence Scheme must address
- Standard
Assist in developing the compliance culture of your organisation
- Standard
Consider and advise on the compliance implications of business strategies at your organisation
- Standard
Develop a compliance culture within your organisation
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
- 2 records
- 2 records
- 1 record
- 1 record
Showing 6 roles, drawn from 745 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
Senior Global Compliance Officer
This role can lead to Head of Compliance, Global Director of Compliance, or Chief Compliance Officer.
See the whole journeyThe credits, and who awards them
Level 6 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
Combating Financial CrimeCombating Financial CrimeGlobal Financial ComplianceRegulation & ComplianceRisk in Financial ServicesRisk in Financial ServicesUK Regulation & Professional Integrity
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 “Combating Financial Crime” 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.
What you leave holding
The standards this credential builds, in the shape the product keeps them
Nothing here is marked learned. There is no learner on a public page, so the map shows what the qualification covers rather than what anybody has done.
- Assess and Review the Compliance Risks Relevant to Your Organisation
- Assess business strategy and commercial risks that a Training and Competence Scheme must address
- Assist in developing the compliance culture of your organisation
- Consider and advise on the compliance implications of business strategies at your organisation
- Develop a compliance culture within your organisation
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 Combating Financial Crime, one of this qualification's own units.
Applied to your work in any of these jobs
Learners will gain an understanding of the nature and background of financial crime, including money laundering, terrorist financing, and corruption within UK and international contexts. The unit covers predicate offences and the measures in place to combat financial crime.
- 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 6 Diploma in Investment Compliance
5 units in this credential, in the order it lists them, awarded by Chartered Institute for Securities & Investment.
- Combating Financial Crime
- Global Financial Compliance
- Regulation & Compliance
- Risk in Financial Services
- UK Regulation & Professional Integrity
Free tools
Want a read on where you stand?
Three free tools, no account needed. Each one ends with a role, a level and a way in.
Learned on your own work, taught one-to-one.
Everything you just read, learned one-to-one on the job you already do. Your free first module is Future Fluency, so you can see how the teaching works before you pay for anything.
Build my plan, freeNo card. See how this qualification maps onto your role and meet the tutors who’d teach it, free. The learning begins when you subscribe. It’s £70 a month, billed monthly. Cancel any time and billing stops.
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.