University College Dublin
If you are interested & require further information, we will email you a copy of the programme brochure.
As you are not registered with us, you will need to upload proof you can enrol to this programme.
I know, let’s sign upI have an account, let me sign in firstThis programme is for those who work or aspire to work in a professional capacity within a compliance function in financial services. The Professional Certificate in Compliance is designed to enhance skills, judgement and ability to deal with practical issues in the management and practice of compliance in the financial services industry.
University College Dublin
The professional certificate is popular with students who require an introduction to the area of compliance as well as those who already work in the area and are looking to achieve the recognised industry and accredited qualification.
The Professional Certificate in Compliance is awarded to students who successfully complete PDC 1 and PDC 2. Students are then able to continue to PDC 3 and PDC 4 in the Professional Diploma in Compliance.
See programme modules for more information.
We are delighted to introduce the revised and updated Professional Certificate and Diploma in Compliance. These programmes have been developed with substantial input from industry and in conjunction with Compliance Institute, the industry body for compliance professionals.
Those who successfully complete PDC 1 - Compliance and the Regulatory Structure and PDC 2 - Conduct of Business Rules are awarded the Professional Certificate in Compliance. The professional certificate, a level 7 qualification in its own right, introduces you to the theory of regulation and to its application to the financial services industry. The professional certificate is popular with students who require an introduction to the area of compliance as well as those who already work in the area and are looking to achieve the recognised industry and accredited qualification.
If you complete a further two modules, PDC 3 - Legal and Regulatory Aspects of Compliance and PDC 4 - Compliance Management, you are awarded the Professional Diploma in Compliance. The professional diploma, also a level 7 qualification, is the benchmark qualification for compliance professionals in all sectors of the financial services industry.
On successful completion of the Professional Certificate and Diploma in Compliance you will be able to;
Understand the role of compliance within a financial services organisation.
Explain the theory and describe the practice of regulation from both an Irish and International perspective
Describe the impact of relevant regulation and the role of the various regulatory bodies on the operation of the compliance function
Describe the legal environment that applies to the Financial Services industry
Assess the systems of controls, assurance and governance in an organisation
Critically evaluate the importance of ethics and their role in the compliance function
Understand the impact of regulatory rules relating to how consumers of financial services are protected
Assess the authorisation, supervision and prudential requirements for different financial entities
Analyse the relationship between compliance and the control systems in an organisation.
Describe where the compliance function fits within a financial services organisation.
Explain the impact of conduct of business rules on financial services providers.
Devise a regulatory relations policy in relation to inspections, themed visits and routine relations
Identify and pursue appropriate learning opportunities (academic and non-academic) which enhance their professional career ambitions and individual capabilities.
If you hold an IOB designation or a designation managed by IOB, CPD hours may be awarded on successful completion of this programme.
Delivery is online
€680 per module
When you successfully complete this programme you will be awarded a Professional Certificate in Compliance from UCD and will be invited to the relevant designation.
This is a level 7 qualification on the National Framework of Qualifications.
Two hour exam for each module at the end of the trimester. The exams consist of written case-study and essay style questions.
Autumn Trimester
10 November 2023
For more information please contact [email protected]
You must be a current member of the Compliance Institute, or become a member, to undertake this programme.
To become a member, or renew your membership of the Compliance Institute click here
(NFQ Level 7, 5 ECTS)
Compliance is an established function in financial services organisations and is recognised by regulators as an essential part of the control infrastructure. This module looks at the role of the Compliance function in financial services. It presents the role of the Central Bank of Ireland and describes how financial services are regulated both in Ireland and internationally. It also focuses on ethics and fiduciary relationships and outlines the legal environment that applies to financial services.
(NFQ Level 7, 5 ECTS)
This module considers the significant increase in the complexity and volume of the regulation underpinning compliance procedures. It also explores consumer protection legislation such as the Consumer Credit Act, the Consumer Protection Code, along with the Markets in Financial Markets Directive (MiFID). The module considers Data Protection regulations and the impact of these on financial services organisations. It also considers Financial Crime including Anti-Money Laundering and Counter Terrorist Financing and the Compliance professional’s role in these areas. The module aims to assist students in developing a best-practice approach to counteracting, hindering and ultimately safeguarding individuals and corporations from fraud in the financial system
Individuals who pass the Professional Diploma in Compliance are entitled to apply for the designation ‘Licentiate of Compliance Institute' and use the designatory letters LCI. Continued use of this designation is subject to meeting The Compliance Institute's Continuing Professional Development requirements. LCI is the leading professional designation for compliance professionals in all sectors of the financial services industry in the Republic of Ireland.
This programme enrols three times a year.
Autumn Trimester
10 November 2023
The minimum second level educational requirements for entry to the Professional Certificate in Compliance are as follows;
Five passes in the Leaving Certificate, including English and Mathematics
Five O Level/GCSE passes, including English Language and Mathematics
IOB will also consider applications on a mature candidate basis from applicants who are 23 years of age before the date of their application for admission to the programme.
You must be a current member of the Compliance Institute, or become a member, to undertake this programme.
To become a member, or renew your membership of the Compliance Institute click here
IOB was founded in 1898 by a small group of financial services professionals. Today we are Ireland's largest professional membership community.
Join IOB today