Diploma in Investment Compliance

CISI Level 6 Diploma in Investment Compliance

Remote exams now available

Diploma in Investment Compliance

The Diploma in Investment Compliance is a global qualification that offers a clear career pathway for compliance specialists and practitioners. Achieving this qualification, will provide you with the confidence of possessing a thorough understanding of the financial services regulatory environment both in the UK and internationally.

Is the Diploma in Investment Compliance right for me?

The Diploma in Investment Compliance is suitable for practitioners who are wishing to pursue a career in compliance and, in particular, those employed at a supervisory level aspiring to a senior management role. It is suitable for those working in both wholesale and retail.

Key features:

  • 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

Entry requirements and exemptions

Entry for the Diploma in Investment Compliance requires you to have completed and passed the Introduction to Securities & Investment or International Introduction to Securities & Investment.
 
View the full exemption list

Qualification Structure

The Diploma in Investment Compliance is achieved by successfully passing three units as listed below.

It is regulated by Ofqual as a level 6 qualification. On the European Qualifications Framework, this equates to a level 6 qualification.

International candidates can substitute a local regulatory paper for UK Regulation and Professional Integrity to gain an international version of the qualification. Where there is no regulatory paper candidates should take Global Financial Compliance instead, and must also pass either Combating Financial Crime or Risk in Financial Services, plus Regulation and Compliance, to gain the Diploma in Investment Compliance.

Total Qualification Time:
476 hours

The total qualification time (TQT) for this qualification is 476 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.
UK Regulation & Professional Integrity
+
One unit from:
Global Financial Compliance
Combating Financial Crime
Risk in Financial Services
+
Regulation and Compliance

 

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

Self-study

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

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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

Membership

Obtaining the Diploma in Investment Compliance qualification entitles candidates to join the Institute at MCSI Member 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.