The Certified Securities Compliance Professional (CSCP) is a graduate-level program for experienced financial services compliance professionals, offered through the University of St. Thomas in collaboration with the National Society of Compliance Professionals (NSCP). Upon successful completion of the academic course and the CSCP certification exam, candidates will be granted one of the CSCP designations, IA-BD, BD or IA, offered by NSCP.
The certification obtained at the completion of the final exam distinguishes individuals with intermediate to advanced proficiency and a commitment to advancing securities compliance practices. The focus of the course will be on Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) regulated financial services firms with a particular emphasis on Investment Advisers and Broker Dealers.
CSCP Program Highlights:
14-week course delivered online
Instructors are leading financial services industry professionals
CSCP examination offered for BD, IA or Dual Registrants
Discounted NSCP membership (NSCP Membership for CSCP Students: $100 for 1 year)
Three graduate-level academic credits are awarded by the University of St. Thomas with successful completion of the course, which can be applied to the online MSL degree program in Organizational Ethics & Compliance
Cost: $3,000.00 (includes the CSCP certification exam fee)
Spring 2024 offering: The course will run January 16, 2024 – May 5, 2024
Areas Of Compliance Covered:
Compliance program management including risk assessment and risk management
Developing, monitoring and testing policies and procedures
Ethics and Conflicts of Interest
Client Communications and Client Protection
Regulatory Risk Management
Regulatory Filings
Books and Records
CSCP Program Registration Qualifications:
Bachelor’s Degree from an accredited college/university required
For more information, please contact:
Colleen Dorsey
Director, Organizational Ethics & Compliance Programs
University of St. Thomas
colleen.dorsey@stthomas.edu
About NSCP
The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry.
NSCP is for compliance, by compliance. NSCP membership provides the financial services professional from the U.S. and Canada with a wide range of resources including a vast network of compliance peers, continuing education to further their knowledge and specialized skills, and regulatory involvement through representation of compliance interests.
NSCP Membership for CSCP Students: $100 for 1 year*
*Evidence of enrollment must be provided while applying for student membership.