ICA Certificate in Compliance logoCompliance


The role of the compliance practitioner continues to grow in importance. The changing environment has determined the crucial part compliance professionals play in the evolution of their firms. The daily challenges faced mean the importance of having the right skills and knowledge cannot be underestimated. Compliance is the responsibility of all staff and whether new to compliance or an experienced practitioner, there is an ICA Compliance programme to suit.


ICA International Diploma in Compliance
The ICA International Diploma in Compliance is comprehensive. Issues topical to the compliance environment today, such as fraud prevention and risk management, are examined in-depth as part of the core syllabus. Legislation and regulations, structures and powers are explored. A focus on corporate governance and the impact this has on the responsibilities of the compliance officer are reviewed. It examines the role of key players and the importance of developing networks.

By the end of the Diploma programme, you will have an understanding of the compliance function and how to apply what you have learnt to the management of risk. By studying international best practice you can harmonise approaches benefiting from what has been delivered as part of the learning experience. Because of the practical nature of the Diploma, you will have some useful tolls and skills that can add real value to any organisation, whatever the size or wherever they are based.


Core Modules

Module 1: The Regulatory Environment
  • Understanding the Regulatory Environment
  • Regulatory Structure and the Powers of the Regulator

Module 2: Key Compliance Issues
  • The Role of the Compliance Officer
  • Risk Management
  • Designing an Internal Compliance System
  • Dealing with Regulatory Issues and Enforcement Action

Module 3: Current Areas of Compliance Focus
  • Compliance with Prudential Regulation
  • Corporate Governance, Creating a Compliance Culture and the Benefits of Compliance

Module 4: Managing the Risk of Financial Crime
  • Managing the Risk of Money Laundering and Terrorist Financing
  • Market Abuse, Insider Dealing and Fraud Prevention

Who will Diploma will Benefit
  • Compliance Officers
  • Deputy Compliance Officers
  • Managers with responsibility for internal compliance controls
  • Risk Managers
  • Internal and External Audit Staff
  • Regulatory Representatives
  • Accountants
  • Lawyers
  • Company Secretaries

Key Features
  • A graduate level programme resulting in a professional qualification
  • 9 - 12 months duration
  • 3 pieces of assessed work, each approximately 3,000 words in length
  • 4 core modules
ICA International Advanced Certificate in Compliance
The course will provide you with practical skills to enable you to foster a compliance culture within your organisation. It will help you manage relationships with regulators, law enforcement agencies, senior management and colleagues. The programme will further your understanding of money laundering processes and of terrorist financing. It will help you understand risk and thus enable you to design an effective compliance system to manage that risk.
The programme is split into the core area of Compliance with subsidiary units on Anti Money Laundering and Financial Crime Prevention.

Core Modules

Unit 1 - Understanding the Regulatory Environment
  • The objectives of financial services regulation
  • The Background to Regulation
  • The Regulatory Timeline - Significant dates and events

Unit 2: International Regulation
  • Regulators and their Powers
  • International Regulatory Models
  • Overview of recent International Legislation

Unit 3: Compliance in Practice
  • Compliance Structure
  • The Role of the Compliance Officer
  • Key Compliance Activities and Processes

Unit 4: Managing the Risk of Money Laundering and Terrorist Financing
  • Understanding Money Laundering Offences
  • Designing an Effective Reporting System
  • Taking a Risk-based Approach to the Prevention of Money Laundering

Unit 5: Financial Crime Prevention
  • Fraud Prevention
  • Understanding Market Misconduct
  • Bribery and Corruption

Who the Advanced Certificate Will Benefit
  • Compliance Officers and Professionals
  • Money Laundering Reporting Officers and Deputies
  • Money Laundering Prevention Officers and Deputies
  • Compliance Technicians
  • Risk Managers
  • Fraud Prevention Officers, Managers and Deputies
  • Managers with responsibility for internal anti money laundering, fraud and compliance controls
  • Regulatory Representatives

Key Features
  • An intermediate level education programme that takes 9 months to complete
  • Comprehensive, detailed course materials that can be used in the workplace
  • Completion of one assignment and one open-book examination
  • Written by experienced industry practitioners
  • Extensive support and resource material
  • Awarded in association with the University of Manchester Business School
  • Variety of study options to choose from
ICA International Certificate in Compliance Awareness
Good compliance equals good business and good compliance is the responsibility of all staff. Ensuring all are trained in the compliance discipline can help you better manage your risk. The ICA International Certificate in Compliance Awareness programme provides a good introduction to compliance. It provides the contextual understanding your staff need so they can approach their responsibilities with confidence.


Course Content

Unit 1: Understanding the Regulatory Environment
  • The Objectives of Financial Services Regulation
  • The Background of Regulation
  • The Regulatory Timeline - Significant Dates and Events

Unit 2: Regulation in Practice
  • Regulators and their Powers
  • International Regulatory Models
  • Overview of Recent International Legislation

Unit 3: Compliance in Practice
  • Compliance Structure
  • The Role of the Compliance Officer
  • Key Compliance Activities and Processes

Unit 4: Other Key Compliance Areas
  • Anti Money Laundering
  • Financial Crime Prevention
  • Market Abuse
  • Managing Risk
  • Enforcement

Download course brochure here.

Download enrolment form here.

Click here to view a video introduction to the courses.

For more information email Maria on mariak@int-comp.org or call + +9715 (0) 0651 8539.