In recent years, many people choose to take IIA IIA-CFSA-SEC certification exam which can make you get the IIA certificate that is the passport to get a better job and get promotions.
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IIA IIA-CFSA-SEC Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Auditing Financial Services Products | 30% | - Mutual Funds & Investment Portfolios - Equities & Fixed Income Securities - Securities Valuation & Pricing - Derivatives & Structured Products |
| Securities Specialty (20% of total) | 20% | - Securities Industry Risks & Controls - Clearing & Settlement Systems - Securities Market Operations - Broker-Dealer & Investment Advisory |
| The Regulatory Environment | 15% | - Compliance & Reporting Requirements - Regulatory Oversight & Audit - Market Conduct & Investor Protection - Global Securities Regulations |
| Auditing Financial Services Processes | 25% | - Trade Execution & Settlement - Custody & Asset Servicing - Transaction Lifecycle Controls - Reconciliation & Record Keeping |
| Financial Services Auditing | 30% | - Internal Control Frameworks - Audit Planning & Risk Assessment - Governance & Risk Management - IIA Standards & Code of Ethics |
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