Who should take the Diploma in Investment Compliance?
The Diploma in Investment Compliance will be of value to staff entering, or considering entering, the compliance function in a Financial Services Authority authorised and regulated firm. The qualification will also be of use to staff already working in compliance at a supervisory level and to individuals with several years' experience of compliance work at a senior level, where compliance may not be a full-time role.
Benefits of the qualification
The Diploma in Investment Compliance:
- provides compliance staff with a specialist qualification geared to their needs;
- gives compliance staff additional credibility when dealing with advisory and operations staff whose Training and Competence they have to enforce;
- engages individuals in issues of professionalism, integrity and ethics, in addition to examining them on regulatory matters;
- enables firms, committed to offering relevant qualifications to their staff, to give compliance staff access to a professional qualification which will lead to membership of the SII and give access to the SII Compliance Forum.
“The introduction of the Diploma in Investment Compliance provides welcome recognition of the high-profile which compliance now has in the banking and financial services industry, and confirms the maturing of compliance into a profession in its own right.”
Nick Gibson, Global Head of Product Compliance, ABN AMRO
Who should take the Diploma in Investment Compliance?
Regulatory Recognition
What you need to know about the Diploma in Investment Compliance
Studying for the Diploma in Investment Compliance
Fees & Forms
Exam Policies
What next for holders of the Diploma in Investment Compliance?
