Global Financial Compliance

CISI Level 3 Award in Global Financial Compliance

Why study Global Financial Compliance?

Global Financial Compliance will provide you with a broad understanding of the compliance issues that arise within the financial services sector. The qualification addresses techniques used to implement a successful compliance function in a bank and provides a comprehensive introduction to all the issues a global Compliance Officer may encounter. It explores the international regulatory environment, managing the risk of financial crime, governance, risk management, ethics, integrity and fairness. 

Is Global Financial Compliance right for me?

Global Financial Compliance is suitable for all compliance staff and will be especially relevant for Compliance Officers.

Key features:

  • Specialist qualification – covers all key aspects of compliance and can be taken as a stand-alone qualification or as part of the Investment Operations Certificate (IOC)
  • Combine it with a CISI regulatory exam to complete the full Certificate in Global Financial Compliance. You are exempt from the regulation paper if you  have already achieved a regulatory paper through another route, such as the IOC
  • Offers a progressive study pathway – Global Financial Compliance is the first step in the CISI’s compliance qualifications study pathway and offers access to the higher level Diploma in Investment Compliance
  • Globally portable – addresses international issues and best practice techniques
  • Free CISI Student membership – become associated with a Chartered professional body and take advantage of an extensive range of benefits
  • Access to Associate membership and ACSI designatory letters
  • Exams available online via remote invigilation or at one of our global test centres

Qualification factsheet

Qualification Structure

Global Financial Compliance is achieved by successfully passing a multiple-choice question exam. Details for this exam are shown below. Global Financial Compliance can also be combined with a regulatory exam to achieve the CISI Level 3 Certificate in Global Financial Compliance. It can also be taken as part of the Investment Operations Certificate.

Global Financial Compliance is regulated by Ofqual as a level 3 qualification on the Regulated Qualifications Framework (RQF). On the European Qualifications Framework, this equates to a level 4 qualification.  As a stand-alone award it is recognised by Ofqual as the level 3 Award in Global Financial Compliance. Global Financial Compliance, combined with a regulatory paper, is recognised by Ofqual as the level 3 Certificate in Global Financial Compliance.

Total Qualification Time:
Level 3 Award: 102 hours
Level 3 Certificate: 183 hours

The total qualification time (TQT) for the Level 3 Award is 102 hours, and, Level 3 Certificate is 183 hours. TQT is an estimate of the number of hours that a typical candidate might reasonably spend in achieving the qualification. This will vary depending on your previous experience, and includes any formal study as well as self-study and assessment time.


Exam Details

Exam Availability

Pass Mark / Pass Rate

The current pass rate for this exam is and the pass mark is . The exam grades are as follows:

Regulated Qualifications Framework

credits on the Regulated Qualifications Framework are awarded upon successfully passing this exam

Feedback and Appeals

For further details on how to give us your feedback and / or Appeal your result, please refer to our Exam Policies.

Study support


A CISI Global Financial Compliance workbook is required to be purchased when booking the exam. This is to ensure there is one standard workbook from which all exam candidates can prepare. You can also choose to purchase elearning to support your exam preparation.

Buy study material Find out about My Study

Accredited Training Partners

You can choose to complete formal training for our exams with a CISI Accredited Training Partner (ATP).

Find an ATP near you

Post Qualification Opportunities


Obtaining the Global Financial Compliance qualification entitles you to join the Institute at Associate level. As a member of the Institute, you will enjoy the recognition of being a professional in a world of increasing competition. The extensive continuing professional development (CPD) opportunities available through the CISI’s suite of membership benefits ensures financial services practitioners can maintain competence and meet the requirements of firms and the regulator.

Further Qualifications

To further theoretical and practical knowledge upon completion of Global Financial Compliance, qualifications to take include: