Qualifications and Membership Opportunities for Compliance & Risk

Our Compliance and Risk professional qualifications will provide you with specialist knowledge and expertise to foster a strong career in global financial compliance, financial crime, governance and risk management or regulation and compliance.

Compliance & Risk Qualifications Pathway

Follow a progressive study route consistent with career paths in the financial services sector. New entrants to the professional field choose to start with Fundamentals of Financial Services or the Foundation Qualification - Introduction to Investment, before choosing a technical subject or considering the Investment Operations Certificate (IOC) and then continuing on to pursue our higher level specialist qualification, the Diploma in Investment Compliance.

The levels shown above are a guide only. Ofqual regulated qualifications are marked +

A PDF version of all Qualifications pathways is also available.

Hear from others

Michael Harlock, Chartered MCSI, Senior Compliance Associate, The Share Centre

Combating Financial Crime - Winner CISI Awards Ceremony 2015

I’d reached a point professionally where I wanted to study again and achieve a qualification that could help back up the the job knowledge and experience that I’d gained since completing the Investment Operations Certificate (IOC). Studying Combating Finance Crime has helped to evidence and reinforce my knowledge around anti-money laundering and financial crime gained in my current role. Although my main role is on the regulatory compliance side of the business, I also act as the deputy MLRO. I am thinking of my future career path and having a qualification related to financial crime prevention will hopefully stand me in good stead.

As the Combating Financial Crime exam qualifies as the second unit of the Diploma in Investment Compliance, I’m now studying for the first unit, UK Regulation and Professional Integrity. I’ve recently upgraded to Chartered Member status, so I will also be focusing on meeting my CPD requirements.

Nicole Ziman, Regulatory lawyer

Global Financial Compliance – Winner CISI Awards Ceremony 2015

The CISI was recommended to me by several people and seemed to offer the most relevant qualifications. Global Financial Compliance helped me gain the knowledge I needed to make a sideways career move into the financial services sector and my next step is to secure a role within this professional scope. I want to take the CISI’s Regulation and Compliance exam, part of the Diploma in Investment Compliance, as I want to gain in-depth knowledge at a professional level.

I find the CISI’s online resources very useful to maintain my knowledge, especially as my CPD record is automatically updated. I attend CISI forum events and keep abreast of current developments through the financial press and the twitter feeds of the FCA and others.

Membership Opportunities

CISI membership is a compelling marker of professionalism in the financial services sector. Whatever stage of your career you are at, CISI membership highlights to colleagues, clients and the wider professional sector a commitment to professionalism and the highest standards of knowledge, skills and behaviour. We now have over 47,000 members in 116 countries who take advantage of membership.



CISI members have extensive opportunities to make connections and share knowledge. Including an international network of 47,000 financial practitioners



Members' professional development is at the heart of everything the CISI does



Whatever stage of your career you are at – there is always potential for growth and progression.

Compliance & Risk Focused Benefits

  • Designatory Letters – When you join the Institute you will be able to use designatory letters gained from achieving your compliance or risk qualification and set yourself apart from other practitioners in today's competitive market.
  • Join our Professional Forums for Compliance, Risk and European Regulation – More than 3,000 compliance and risk practitioners meet regularly in London to network and discuss relevant sector topics.
  • Continuing Professional Development (CPD) events – Enjoy exclusive and free attendance at compliance and risk focused seminars and events worldwide.
  • Professional Refresher elearning Modules – Free access to the Institute’s online learning system to test your knowledge on topics, such as Anti-Money Laundering, Financial Crime, Approved Persons Regime, Conduct Risk, Corporate Governance, UK Bribery Act, MiFID II, Risk and more
  • Change, the regulatory update, a quarterly publication which details changes and hot topics in the world of financial regulation
  • Discounts of up to 30% to attend our Compliance and Risk focused full day and half day CPD Training Courses
  • CISI TV – Free access to our online library of past CPD events including a dedicated Risk & Regulation section.
View the full range of membership benefits