Professional Certificate & Diploma in Compliance 

Registration: Currently Open

Programme Overview

The Professional Certificate and Diploma in Compliance programme is a level 7 qualification on the National Framework of Qualifications, provided by the Compliance Institute's education partner, IOB, a recognised college of UCD. The programme is designed for those who work or aspire to work in a professional capacity within a compliance function in financial services. Both the professional certificate and diploma are designed to enhance skills, judgement and ability to deal with practical issues in the management and practice of compliance in the financial services industry. 

The Professional Certificate in Compliance (PDC 1 - Compliance and the Regulatory Structure and PDC 2 - Conduct of Business Rules) introduces you to the theory of regulation and to its application to the financial services. 

The Professional Diploma in Compliance (PDC 1- PDC 2 and PDC 3 - Legal and Regulatory Aspects of Compliance and PDC 4 - Compliance Management) is the benchmark qualification for compliance professionals in all sectors of the financial services industry. 

These programmes are delivered online through webinars. All modules are available 3 times a year with exams in January, May and September. 

Fees and Funding Available

Professional Certificate in Compliance (PDC Modules 1 + 2).

Full Course Fee €1,360; €680 per module 

Skillnet funding of 25% is available for the Professional Diploma in Compliance (Modules 3+4) - Learners will need to apply through their employer.

Fee €680 per module (excluding Skillnet funding).

How you will benefit:

On successful completion of the Professional Certificate and Diploma in Compliance graduates will be able to: 

1. Describe the role of the compliance function within a financial services organisation.

2. Explain the domestic and international legal and regulatory environment that applies to the Irish financial services sector.

3. Assess the authorisation, supervision and prudential requirements for different financial entities

4. Explain the impact of regulatory and conduct of business rules from the point of view of the firm, of the customer and of the wider sector.

5. Discuss the importance of compliance practice, planning and monitoring as part of the assurance and governance in an organisation.

6. Evaluate the importance of ethics and ethical behaviour in the operation of financial services.

Award

On successful completion of PDC 1- PDC 4, you will be awarded the Professional Diploma in Compliance from UCD.

In addition, you will be invited to apply for the designation ‘Licentiate of Compliance Institute’ (LCI) and use the designatory letters LCI. Continued use of this designation is subject to meeting Compliance Institute’s CPD requirements.

The LCI designation satisfies the Central Bank of Ireland’s Minimum Competency Code for those who ‘adjudicate on any complaint communicated to a regulated firm by a consumer which relates to advice about a retail financial product provided to that consumer or the arranging of a retail financial product for that consumer’. For more on Compliance Institute Designations, click here.

How to Apply

1. You will need to be a current member of the Compliance Institute to register for these programmes.
2. Register for the Certificate or Diploma programme through our education provider, IOB.

Any Questions?

If you have any questions about the Professional Certificate & Diploma in Compliance, or any education programme:

Contact: [email protected]

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