The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting compliance officials in the securities industry. NSCP is for compliance, by compliance - it is our mission is to provide professional resources to U.S. and Canadian financial services professionals through our unequaled network of peers, professional education, regulatory interaction and professional standards.
Members receive our monthly journal NSCP Currents. The premier publication of the compliance industry, this journal features in-depth articles written by highly respected professionals, tackling problems common to financial services firms.
The most practical education in the industry... members enjoy discounted prices, but our educational offerings are open to non-members also.
In addition to our flagship comprehensive 2.5+ day, 70+ workshop National Conference held every year in the fall we offer region-specific day-long meetings. Our faculty are experienced industry veterans who discuss practical implementation of compliance policies and procedures. Workshop topics are specific to investment advisers and broker-dealers, as well as private funds and investment companies. CLE, CFP, SRO and ethics credits are available.
NSCP offers compliance training for professionals in the securities industry on a variety of topics. Webinars are recorded and available on the NSCP website.
ESSENTIAL COMPLIANCE TRAINING MODULES (ECT)
NSCP offers a suite of instructional training modules written by experienced compliance professionals to assist compliance officers on key topics. ECT modules are available on the NSCP website.
NSCP facilitates the pairing of one-on-one relationships between an experience person (mentor) and a less experienced person (mentee) to help the mentee grow professionally.
NSCP COMPLIANCE FORUM AND RESOURCE LIBRARY
Through NSCP’s online forum, members can seek confidential advice on their questions from the collective expertise of NSCP’s membership community. NSCP has also established a resource library of compliance reference materials. Members have access to a wealth of information including policies and procedures, compliance forms and checklists, as well as SEC/FINRA examination request lists. Click here to see what our resource library has to offer!
LOCAL COMPLIANCE ROUNDTABLES
Roundtables are local groups of compliance professionals who meet periodically to network and further their professional development. Roundtables offer a unique medium for learning that complements conferences and online resources. NSCP actively supports a number of roundtables throughout the country. While roundtables are autonomous, NSCP has a committee that can connect you with an existing roundtable or help you start your own.
The NSCP JobLine is a valuable resource for the compliance professional. Free to members, compliance openings and resumes may be posted. Anyone can review Jobline postings regardless of membership.
NSCP is the only nonprofit representative organization for the compliance profession, uniquely positioned to take an independent stance with respect to industry developments, and to promote unbiased consensus with respect to initiatives from the SEC, the SROs and Capitol Hill.