Certificate in Risk & Compliance

The “Certificate in Compliance, Governance, and Risk Management” offered by Equalifi is an extensive program designed to provide professionals with a robust understanding of risk management principles and practices. The course starts with an introduction to compliance, governance, and various types of risks, including credit, market, operational, and legal risks. Participants will learn about asset liability management, the tools used in this process, and the formation of successful Asset Liability Committees (ALCOs). 

The second section delves into risk measurement, control, and management, covering risk exposure analysis, mitigation policies, and capital adequacy norms. It also explores financial instruments such as forwards, futures, and options for risk mitigation. The third section focuses on credit risk management, including Basel norms, RBI guidelines, risk rating, and stress testing. The final section addresses operational and market risk, discussing forms and causes of operational risk, sound principles of operational risk management, capital allocation, and the treatment of market risk under Basel norms. This comprehensive course equips professionals with the skills to effectively manage risk and ensure compliance and governance within their organizations.

Benefits:

  • Master risk management processes
  • Form successful ALCOs
  • Analyze risk exposure
  • Develop mitigation policies
  • Ensure capital adequacy compliance
  • Utilize financial instruments for risk mitigation
  • Conduct risk rating and pricing
  • Perform stress testing and sensitivity analysis
  • Manage operational and market risks

Careers After Certificate in Financial Markets

  • Risk Manager
  • Compliance Officer
  • Governance Specialist
  • Asset Liability Manager
  • Credit Risk Analyst
  • Market Risk Analyst
  • Operational Risk Manager
  • Financial Risk Consultant
  • Regulatory Compliance Specialist
  • Internal Auditor
  • Capital Adequacy Manager
  • Stress Testing Analyst
  • Risk Management Consultant
  • Treasury Manager

Reference Books

  • Governance, Risk Management, and Compliance – It Can’t Happen to Us–Avoiding Corporate Disaster by RM Steinberg
  • Governance, Risk Management, Compliance & Ethics by Chirag Chotrani

Exam Details

Equalifi is offering the CIRC examination on an external, remote-proctored platform. Candidates can schedule an exam by paying the exam fee. Once the exam fee payment is done and exam registration is confirmed, the exam platform sends out the exam link by email to the candidates. Candidates can appear for the exam anytime any day within the next 1 year through this exam link from any place. Candidates need a good internet connection and a functional camera on their PC/ Laptop to appear for this exam.

CIRC Certification has only 1 exam which covers both Level 1 and Level 2 syllabus.

Sr. No. Name of Module Type of Questions Test Duration No. of Questions Maximum Marks Pass Marks (%) Negative Marking
1 Certificate in Risk and Compliance MCQ 2 Hrs 100 100 50 20%

 

Candidate Audit:

Equalifi will randomly audit a percentage of applications on a regular basis. Candidates will be responsible for providing the requested supporting documentation to verify their education and professional background as mentioned in the registration form. Equalifi’s practice is not to contact employers or educational institutions to obtain verification documentation on the candidate’s behalf. Failure to comply with the audit, falsification or misrepresentation of requested information and/or any unprofessional conduct will result in denial/cancellation of the exam registration and/or revocation of the program certificate. Candidates subject to audit will be notified by e-mail and will have 10 business days to respond. Once selected for audit, candidates will be required to satisfy the audit requirements before being able to receive the final certificate. Failure to comply with the audit will result in forfeiting all fees. Additionally, a candidate who does not comply with the audit will be subject to audit if reapplying for a future testing window.

Fee Details:

Exam Fee: INR 1,770
*Fee mentioned is inclusive of GST. Exam fee is applicable for each attempt.

Exam Preparatory Material

You can access the course tutorial recordings and study material on the Equalifi Membership Portal.  Set up your free Equalifi Virtual Membership account here

 

Enquire for Exam

© 2021 Equalifi®. All rights reserved