Certificate in Compliance Professional Finance (CPF)

The course for the “Compliance Professional Finance” certificate comprises six modules:

  • Financial market supervisory law I
  • Financial market supervisory law II
  • Combating money laundering/KYC, sanctions and embargoes
  • Compliance and corporate governance in the financial industry
  • International aspects and treaties
  • Data protection law

A SAQ certificate will be issued if the requisite modules have been completed and all the relevant end-of-module exams (multiple-choice questions) have been passed.

Two levels of certification are available:

 

Compliance Professional Finance – Foundation Level

The course for the Compliance Professional Finance – Foundation Level certificate comprises the following modules, each rounded off with a written exam:

  • Compliance management in the financial sector
  • Combating money laundering and KYC
  • Financial market supervision I

 

Requirements for the Foundation Level

This certification course is open to anyone whose work involves aspects of compliance.

 

Compliance Professional Finance – Expert Level

The course for the Compliance Professional Finance – Expert Level certificate comprises the following modules, each rounded off with a written exam:

  • Financial market supervision II
  • International aspects and treaties
  • Data protection

 

Requirements for the Expert Level

This certification course is open to all compliance officers who have passed the Foundation Level exam.

 

Recertification for the Foundation and Expert Level

Appropriate recertification measures must be presented in order to obtain a five-year extension on the validity period of a certificate that has been granted. This can be provided by demonstrating completion of at least 15 learning hours or by sitting a recertification exam.

Candidates for recertification must be working in a compliance role when they submit their recertification request.