Chartered Institute for Securities & Investment · RQF Level 6
CISI Level 6 Diploma in Investment Compliance
You don’t just earn this. You learn to use it, one-to-one, on your own real work.
- LevelRQF Level 6
- Total credits47
- Guided learning111 hours
- Units in this qualification7
Awarded by Chartered Institute for Securities & Investment · on the Ofqual register
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See how this course maps onto your role
Ten quick questions, one per Future Fluency, asked against this qualification rather than a generic one.
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What you’ll learn
What each unit actually teaches you to do
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, and every one you earn is yours to keep.
Combating Financial CrimeReal 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 CrimeReal 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 ComplianceReal 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 & ComplianceReal 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 ServicesReal 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 ServicesReal 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 IntegrityReal 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 honest bit
You’ve started things before
Most courses were built for a room full of people who aren’t you. A cohort moves on whether or not your week allowed it, and by the third week the thing you’re behind on becomes the reason you stop opening it.
There’s no cohort here, and no timetable to fall behind. Before anything starts, Zavmo asks when you’re sharpest and how long you can realistically sit down for, then builds the sessions around those answers. A bad fortnight changes your pace. It doesn’t put you behind.
And you only pay once you start learning. Searching and planning are free, and you can cancel any time — so the cost of finding out is an afternoon, not a year.
Your passport
Every credit is a stamp you keep
Level 6 credits are regulated. 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’ve earned and what’s next.
Each stamp is a real unit registered against this qualification.
Who’d teach you this
The Evidence Evaluator
Assessor
Helps you show what you can actually do, gathering the evidence that proves it as you learn.
Meet all twelve tutorsWhere this connects
Where these credits take you
A qualification is never a dead end here. See the jobs its credits open, the national occupational standards its units map to, and the future skills they quietly build.
- 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
Where this can lead
Senior Global Compliance Officer
Your journey in compliance is one of continuous learning and increasing impact. This Senior Officer role is a pivotal step, allowing you to deepen your expertise, lead significant work, and set the stage for a truly influential career in protecting and enabling the financial industry.
See the whole journey →Showing 6 roles, drawn from 913 job records mapped to this qualification.
Skills it covers
What the job actually needs. These are the standards the units are built against, in the words employers and awarding bodies already use for the work itself.
How you’ll actually learn this
One-to-one, on your own real work
A qualification is usually something done to you: sit the class, sit the exam, hope it sticks. Here it’s the opposite. You learn it one-to-one with a companion, on your own real work, and you keep going until you can use it, not just recall it.
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.
- Remember
- Understand
- Apply
- Analyse
- Evaluate
- Create
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
One to one, not one to many
No two people run this the same way
A course is written once and handed to everyone. This is assembled around you, and keeps changing as it learns you. Five things it reads, and what each one changes.
- Your actual work Every unit is taught against a live piece of your own work, not a worked example from a textbook.
- What you already know The first conversation finds your starting point, so you skip what you can already do and spend the time on what you cannot.
- The conditions you learn under Not a learning-styles quiz. The evidence does not support those. The dimensions the research does back, read once and used to shape the plan.
- How far you got last time It picks up mid-thought. The tutor knows what you said, what you struggled with, and what it asked you to try.
- Which tutor suits the moment Twelve of them, each for a different kind of thinking. The one who walks you through a first idea is not the one who stress-tests it.
See how you learn, free. Eight questions, no sign-up. A directional taster; the diagnostic inside Zavmo goes deeper and keeps adapting.
Why it sticks
Most courses stop at remembering
There’s a well-known ladder of how deeply you learn something, called Bloom’s Taxonomy. Most courses get you up the first two rungs: you remember some facts, you pass a test, you forget it. Real skill lives at the top. Judging, deciding, creating. And this isn’t a generic ladder: every rung has a named Zavmo tutor who walks you up it.
- 6CreateThe Creative Catalyst
- 5EvaluateThe Evidence Evaluator
- 4AnalyseThe Analyst
- 3ApplyThe Coach
- 2UnderstandThe Connector
- 1RememberThe Builder
Where most courses leave you Where Zavmo takes you
The value
Why the companion is worth £70 a month
You’re not paying for the units. They’re regulated, and the same wherever you earn them. You’re paying for the one thing that decides whether you actually get there: a companion that makes them stick, on your real work.
That is one-to-one on this qualification, every day, on the work you already do, for £70 a month. Your first module is free, so you can see the teaching before you pay for any of it. Billed monthly, cancel any time and billing stops.
Earned on your own work, taught to the top.
Everything you just read, learned one-to-one on the job you already do. Your first module is free, so you can see the teaching before you pay for any of it.
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.