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Governance & Compliance in Financial Services

This is a one-year conversion in Legal, Governance, and IT Aspects of Compliance in Financial Services which is central to the financial services sector. It is a conversion course and no previous knowledge of financial services is required or assumed. The programme aims to meet the Legal, Governance, IT Aspects of Compliance needs of financial service companies and is being developed in collaboration with a number of key employers from the financial services industry.

The Higher Diploma 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. The programme introduces graduates to the Legal, Governance, and IT Aspects of Compliance and to their application to the financial services industry.

The duration of the programme is one-year and involves learners undertaking taught modules and a work placement.

Entry requirements

Entry Arrangements

Standard applicants will present a qualification recognised by QQI (Quality and Qualifications Ireland) at Level 8 on the National Framework of Qualifications or equivalent.

Level Entry Requirement

Level 8, or an equivalent qualification, in Law (or a degree comprising a substantial component of Law).
Applications will also be accepted from candidates holding a qualification as a barrister or a solicitor in Ireland or the United Kingdom.

Applicants relevant experience may also be eligible to apply on the grounds of Recognition of Prior Learning (RPL) if they have attained appropriate experience and attainment thresholds deemed equivalent to a Level 8 award.


1 year

Number of credits


Careers or further progression

Career Opportunities

Graduates from this programme will be equipped with a skill set that is hugely in demand both regionally, nationally and internationally.

Career paths include but are not limited to:

Anti-Money Laundering Officer/Supervisor/Manager
Corporate Governance Manager
Compliance Manager
Case Analyst
Internal Auditor

Progression Routes from this Programme - Level 9 Programme(s)

On successful completion of this programme candidates may be eligible to progress to relevant Level 9 Postgraduate Diploma and / or Masters programmes such as the MSc in Management and Corporate Governance in University of Ulster or the MSc in Financial Services in the University of Limerick.

Further enquiries

01 8309677

Subjects taught

Financial Services
The aim of this module is to provide students with a foundational introduction to financial services and give the student an insight into the operation of the financial services market in Ireland and international

Financial Services - Credits 10

Regulation, Governance & Ethics
The aim of this module is to provide students with an awareness and understanding a range of current regulatory, ethical and governance issues in relation to financial services.

Regulation, Governance & Ethics - Credits 5

The aim of this module to familiarise students with the regulatory framework of, and the principles underlying auditing and to give students an understanding of modern auditing procedures.

Auditing - Credits 10

Information Systems Fundamentals - Credits 5

Provides a foundational introduction to information systems and information communication technology and gives the learner an insight into the central concepts within these fields.

Information Systems Fundamentals - Credits 5

Legal & Regulatory Aspects of Compliance

The aim of this module is to provide students with a legal and regulatory foundation to compliance in financial services in Ireland and Europe.

Legal & Regulatory Aspects of Compliance - Credits 10

IT Governance and Risk Management

To provide the student with skills to understand and appreciate the mandated governance, data retention and risk management procedures necessary for the successful administration and coordination of an organisation's compliance measures.

IT Governance and Risk Management - Credits 10

Information Systems Auditing

The aim of this module is to enable students to apply auditing techniques and tools to information systems effectively by critically evaluating the associated risks and the efficacy of an organisation’s controls.

Information Systems Auditing - Credits 5

Work Placement - Credits 5


Letterkenny Institute of Technology in Collaboration with Dorset College are offering the following:

Programme Title Higher Diploma in Arts in Governance and Compliance in Financial Services

Awarding Body LYIT, under Delegated Authority from QQI

Assessment method

Module Learning Outcomes & Assessment details

In the assessment of modules coursework may comprise a mix of assessment approaches, such as: reports, practicals, presentations, portfolios, class tests, quizzes, group work and integrated assessment. Details of the nature of assessment and submission dates are contained in the annual Programme Assessment Schedule.

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