ICA DIPLOMA IN COMPLIANCE - A PROFESSIONAL QUALIFICATION AWARDED IN ASSOCIATION WITH UNIVERSITY OF MANCHESTER BUSINESS SCHOOL
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ICA Diploma in Compliance A professional qualification awarded in association with University of Manchester Business School
An Introduction to the
ICA Diploma in Compliance
The role of the financial services compliance professional Those who complete the Diploma will be able to
is growing in profile. The changing regulatory undertake their responsibilities more efficiently and
environment has determined the critical part you play in effectively. By drawing upon international best practice
helping to ensure success for your firms. The challenges as well as UK rules and regulations, the Diploma helps you
compliance professionals face mean it is vital to have to adapt to meet the challenges created by the constantly
the right knowledge and skills, and the ICA Diploma in evolving external environment.
Compliance can help meet this need.
Many who graduate from the Diploma find that
The programme is a benchmark qualification, illustrating their performance in the workplace improves and
the highest standards in compliance practice. Attainment opportunities for career progression are enhanced.
of the Diploma is a recognised mark of excellence. It
delivers what you as a compliance professional need in
order better understand your responsibilities, and fulfil
them accordingly.
The Diploma is a detailed, professional education
programme. It is awarded in association with University of
Manchester Business School and is endorsed by the British
Bankers’ Association. These quality assurances make the
Diploma distinct from other offerings.
‘‘ I would recommend that any compliance professional should
consider the ICA Diploma in Compliance. The study materials are very
comprehensive and continue to be an excellent point of reference post-
Diploma. The workshops enable you to become part of an invaluable
support network with fellow professionals and the assignments and
exam really bring the subject to life.
The structure of the course allowed me to study where and when I
wanted but it does take time and effort to gain real benefits from the
programme rather than just a qualification. The ICA provide excellent
‘‘
support and the course was well paced, allowing me to learn quickly
but in depth. The programme is excellent value for money and
provides a broad understanding of the UK’s regulatory framework
with the benefit of an industry recognised qualification.
Kendra Smith, Compliance Manager,
Group Compliance - Northern Rock plc‘‘ ‘‘
The ICA Diploma in Compliance is an excellent
qualification giving candidates a real competitive
advantage and a deep insight into relevant
methodologies.
Grant Gooding, Compliance Officer
Duncan Lawrie Ltd, UK
Key Features
A graduate level programme resulting in a professional
qualification
9 - 12 months’ duration
Comprehensive, detailed course materials that can be used in
the workplace
Written and delivered by experienced industry practitioners
Specialist and sector specific modules
Extensive support and resource material
Awarded in association with University of Manchester
Business School
Mapped into the UK National Occupational Standards for
Key BENEFITS
Compliance
Career progression
Endorsed by the British Bankers’ Association
Improved knowledge, developed skills
Enhanced workplace performance
Professional designation
Reduced reputational and financial risk for firms
Verifiable evidence of learning
Professional membership of the International
Compliance AssociationAdmission Requirements
The ICA Diploma in Compliance has a practical focus and is
designed for individuals who intend to carry out the role of
Compliance Officer or work within the compliance function.
The entry criteria are:
Sound educational background, e.g. degree
or professional qualification in an appropriate
Who the Diploma in Compliance discipline or,
is Designed for Attainment of the ICA Advanced Certificate
in Compliance (International or UK) or,
Compliance Officers and their Deputies Three years relevant work experience
Managers with responsibility for internal compliance
controls If you would like to discuss the Diploma and how it might fit
Risk Managers in with your current role and career aspirations, contact the
Internal Audit Staff ICA on 0121 362 7534 for an informal discussion with the
Regulatory Representatives Course Director.
Individuals who completed the ICA Certificate in
Compliance
Accountants
Lawyers
Fees
Company Secretaries Please see ICA or approved training provider website for
details. Prices for in-house delivery vary depending on the
number undertaking the programme. Please contact the ICA
for a quotation.
Programme DELIVERY
Excellent course manuals, support readings and texts
Dedicated online support
Attendance at four one-day workshops How to Apply
Two written assignments (approx 3,000 words in length) Complete an enrolment form online at
One open book examination (3 hours and 15 minutes) www.int-comp.org/enrol or contact us on ict@int-comp.com
For those who have already amassed a degree of knowledge or +44 (0) 121 362 7501.
and experience, the ICA offers an ‘exam only’ option (i.e. no
attendance at workshops or submission of assignments). To
apply for this route to qualification, please send your CV to
ict@int-comp.com
Professional Qualification
Award
Following completion of the ICA Diploma in Compliance you
will be able to use the designation ‘Dip (Comp).’
The ICA Diploma in Compliance is awarded in association
with University of Manchester Business School.COURSE CONTENT
Module 1: The Regulatory Environment
Unit 1 - Understanding the Regulatory Environment
Unit 2 - Regulatory Structure
Module 2: Key Compliance Issues
Unit 3 - The Role of the Compliance Officer
Unit 4 - Risk Management
Unit 5 - Designing an Internal Compliance System
Unit 6 - Dealing with Regulatory Issues and Enforcement
Module 3: Current Areas of Compliance Focus
Unit 7 - Compliance with Prudential Regulation
Unit 8 - Corporate Governance, Creating a Compliance
Culture and the Benefits of Compliance
Module 4: Managing the Risk of Financial Crime
Unit 9 - Managing the Risk of Money Laundering and
Terrorist Financing
Unit 10 - Market Abuse, Insider Dealing and Fraud
PreventionINTERNATIONAL COMPLIANCE Membership of the International
ASSOCIATION Compliance Association
The ICA is a professional, Upon successful completion of the ICA Diploma in Compliance, an
awarding body with a global invitation is extended to become a member of the International
membership. Since it was Compliance Association and use the designation MICA, (Member,
founded in 2001, thousands International Compliance Association). After a further 5 years
of individuals have professional experience Members of the ICA are invited to apply for
completed ICA’s diploma Fellowship status and use the designation FICA, (Fellow, International
and certificate programmes all over the world. ICA’s internationally Compliance Association). For more information on ICA Membership
recognised qualifications are a benchmark of professionalism, please visit the ICA Website.
competence and excellence. The ICA is the government appointed
Lead Provider of Financial Industry Competency Standards,
accredited training and assessment programmes in the field of INTERNATIONAL COMPLIANCE TRAINING
compliance in Singapore. The ICA helps businesses, regulatory
authorities, government agencies and clients promote best practice International Compliance Training is
through education, dialogue, information exchange and detailed the approved training partner of the
resource material. The ICA aims to help improve the performance International Compliance Association.
of individuals, firms and the industry as a whole. ICT is dedicated to supporting financial
services practitioners as they study ICA
qualifications. Their unique blended learning approach, combining
high quality materials, interactive workshops and dedicated
Details of other ICA Qualifications support, ensures a successful learning experience for all. The
Available emphasis is on helping individuals succeed, develop their careers
and reach their full potential. ICT has regional offices in Singapore
The ICA delivers a wide range of qualifications, appropriate to the and Dubai.
financial services sector, both in the UK and overseas. For beginners
and experienced practitioners alike, the ICA Certificate and Diploma
qualifications increase knowledge, improve skills and enhance
understanding. Certificate programmes are designed for entry-level University of Manchester
staff new to a particular discipline. Content focuses on awareness Business School
and on the introduction of the key issues involved. They form a solid
foundation for future learning. Diploma programmes are designed MBS is the UK's leading centre for business
for more senior practitioners, those who have already amassed a research, offering an impressive range of
level of experience. Certificate and Diploma qualifications cover the programmes and services to both students
following subjects: and businesses. We provide world-class
business and management education to
Anti Money Laundering undergraduates, postgraduates, highly-experienced practitioners
Compliance and people wishing to pursue academic careers. We compete
Financial Crime Prevention on a global scale for the best students and staff, and continue to
generate ground-breaking research that is recognised by peers and
practitioners across the globe.
The ICA Standards of Competence
ICA qualifications are awarded in association with the University
of Manchester Business School and are mapped into The National British Bankers’ Association
Occupational Standards of Competence. These standards, created The BBA is the leading association for the
by the UK Financial Skills Partnership, (FSP), are in Anti Money UK banking and financial services sector,
Laundering, Compliance and Countering Financial Crime. All ICA speaking for over 200 banking members
Diplomas are recognised by the FSP at the highest level. They are from 60 countries on the full range of UK and
classified as ‘recommended’ on the FSP official Examination List. Full international banking issues and engaging
details can be found at www.fssc.org.uk. with over 50 associated professional firms.
Additionally, ICA qualifications are recognised by regulators and Collectively providing the full range of services, our member banks
education authorities globally as a benchmark of competence and make up the world’s largest international banking centre, operating
excellence. some 140 million accounts.
www.int-comp.org ict@int-comp.com +44 (0)121 362 7534
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http://www.linkedin.com/company/international-compliance-association
http://www.twitter.com/intcompassocRegional Office: Head Office: Regional Office:
Dubai International Financial Centre Wrens Court 10 Shenton Way
Centre of Excellence 52-54 Victoria Road #12-01 MAS Building
The Gate Village Sutton Coldfield Singapore
Building 2, Level 3 Birmingham 079117
PO Box 506745 B72 1SX +65 6500 0010
Dubai United Kingdom enquiries@int-comp.org
UAE +44 (0) 121 362 7501
+971 (0) 4 4019310 ict@int-comp.com
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