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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 3,540

*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

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