CISI Global Financial Compliance: Free Mock Test & Practice Questions

CISI Global Financial Compliance

This qualification is for compliance staff and anyone in risk, legal, or senior management roles. It provides a comprehensive understanding of the international regulatory environment and best practices in compliance.

Pass mark 70/100 120 minutes Real test fee approx Chartered Institute for Securities & Investment (CISI) How many can I get wrong?

Sit a full mock under the clock at least once. Nerves are half the battle.

Free practice questions

Try 3 real CISI Global Financial Compliance questions

Have a go, then reveal the worked explanation. A taster from a bank of 208 original questions — unlock for unlimited drills and full timed mocks.

Q1. What is the primary role of the Financial Action Task Force (FATF)?

A. To set global standards for banking capital adequacy.
B. To establish international principles for securities regulation.
C. To develop policies to combat money laundering and terrorist financing.
D. To directly supervise the global insurance industry.

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✓ Answer: C. To develop policies to combat money laundering and terrorist financing.

The FATF is the global standard-setter for anti-money laundering and counter-terrorist financing (AML/CTF) measures, known for its 40 Recommendations.

Q2. In the context of the 'Three Lines of Defence' model, which line does the compliance function typically occupy?

A. The first line, which owns and manages risk.
B. The second line, which provides risk oversight and challenge.
C. The third line, which provides independent assurance.
D. A separate, external line that reports directly to the regulator.

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✓ Answer: B. The second line, which provides risk oversight and challenge.

The second line of defence includes functions like Compliance and Risk Management that oversee and challenge the first line's (the business) activities.

Q3. Under which of the following circumstances is a firm MOST likely required to apply Enhanced Due Diligence (EDD)?

A. When onboarding a new domestic client for a low-value savings account.
B. When a long-standing client makes a regular, expected transaction.
C. When establishing a correspondent banking relationship with an institution in a high-risk jurisdiction.
D. When providing execution-only services to a large, publicly listed company.

Show answer & explanation

✓ Answer: C. When establishing a correspondent banking relationship with an institution in a high-risk jurisdiction.

Correspondent banking relationships, particularly with firms in high-risk jurisdictions, are specifically identified by FATF as requiring Enhanced Due Diligence due to their inherent ML/TF vulnerabilities.

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Practice material only. This is revision practice, not official training, assessment or certification, and not a substitute for the required course or supervised experience. Always confirm the current requirements with the official awarding body or test provider before relying on it.

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CISI Global Financial Compliance — common questions

Frequently asked

How many questions are in the CISI Global Financial Compliance?

The exam has 100 questions. Every Revision Robin mock uses the same 100-question format so your practice matches the real thing.

What is the pass mark for the CISI Global Financial Compliance?

You need 70 out of 100 correct to pass, which is about 70%. Our mocks mark you against this exact threshold.

How long do you get?

The test is timed at 120 minutes. Our full mock runs on the same clock so you can practise your pacing.

Are these the real exam questions?

No. Our questions are original and written to match the current syllabus, so they give realistic practice without copying the official paper. Every answer comes with a plain-English explanation. Always confirm current rules and content with Chartered Institute for Securities & Investment (CISI).

How much does the official test cost?

The official Chartered Institute for Securities & Investment (CISI) fee is approx. Revision Robin practice is separate and helps you pass first time so you only pay that fee once.