What is CSCP?

The Certified Securities Compliance Professional (CSCP) is a graduate certificate program offered through Utica College. Upon completion of the six graduate level courses delivered through an online system you will be granted the Utica College certificate in securities compliance and become eligible to take the CSCP examination for the CSCP designation offered by the National Society of Compliance Professionals (NSCP). You will also have earned 18 credits toward an MBA in Fraud Management, an MS in Financial Crime Management or an MS in Cybersecurity & Cyber Policy.

The CSCP examination certificate distinguishes individuals with intermediate to advanced proficiency and a commitment to evolving securities compliance practices, lifelong learning, and professional development. Candidates that achieve the CSCP credential will have successfully demonstrated expertise of broker-dealer, investment adviser or dual registrant compliance best practices, rules and regulations, and industry standards.

Do I have to be an NSCP Member to apply?

No – but you will not be eligible for the discounted rate of $5,940 ($330 per credit) if you are not an NSCP Member.

NSCP offers a Student Membership at a rate of $150 for 2 years. You must provide evidence of enrollment in Utica’s CSCP Certificate Program within 30 days of the activation of the membership or you will be billed the difference for a Standard membership rate of $450.  View membership benefits.

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What are the requirements to apply for this program?

  • Membership with NSCP (Student Membership (Utica Program): $150 for 2 years)
  • Bachelor’s degree
  • An overall GPA of 2.7 or above
  • A letter of recommendation from your current employer
  • Official transcripts from schools you have attended, including a final transcript from your undergraduate school showing receipt of your bachelor’s degree.

What is the cost of the program?

Tuition cost to NSCP Members for the certificate program (including the CSCP exam) is $5,940 ($330 per credit). Some additional fees may apply.

How do I pay for the program?
Visit Utica College’s financial services website at
Utica College Graduate Student Financial Aid

Do you accept partial payments?
Utica College has a payment plan that consists of 4 payments per term for online, for example, January, February, March and April for the Spring 2016 semester.

Other Options for Payment

  • Ask your employer about tuition reimbursement
  • PLUS Loans
  • Private/Alternative Education Loans
  • Direct Payment and Payment Plans

What courses are covered? What if I have already taken them? Does work experience count?

The 6 courses included are:

  • FCM 535 Legal & Regulatory Issues for Fraud Management
  • ACC 604 Seminar in Assurance and Forensic Auditing
  • MGT 617 Corporate Ethics
  • FCM 627 Fraud Management: Risk & Compliance
  • FCM 632 Information & Communication Security
  • FCM 648 Advanced Issues in Regulatory Surveillance and Policy Development

What areas of compliance will be included in this program?

– While the program covers other topics that are core to the Utica curriculum, the CSCP content is based on fundamental investment adviser and broker-dealer compliance principles.

What if I have already taken these courses? or I am already an expert in some/all of these courses, can this count toward receiving credit?

– Utica College will consider and transfer some credits and may also consider work experience toward credit hours. Contact Utica College Admissions to find out if/which credits/experience will transfer.

What can I expect in these courses?

I understand that this is an on-line program and will be instructor-led. What if I am not able to attend the live instructional video?  Will there be a recording?
Courses are asynchronous where instructors provide materials, lectures, tests, and assignments that can be accessed at any time. Students may be given a timeframe – usually a one week window – during which they need to connect at least once or twice. But overall, students are free to contribute whenever they choose. Lectures are recorded and videos are available any time to the student through the Learning Management System.

What are the principle areas of compliance included in this program?

  • Surveillance and Testing
  • Compliance and Program Management
  • Policies and Procedures
  • Ethics and Conflicts of Interest
  • Client Communications and Client Protection
  • Regulatory Risk Management
  • Registration and Regulatory Filings
  • Books and Records

What is the average time commitment per week when taking these courses?

On average, you should expect to minimally dedicate 12-15 hours per week, per course. The rigor and expectations for campus and online instruction are the same.

What types of assignments will be required for these courses?
Assignments include written case studies, online discussions, power point presentations and labs

Are there any textbooks for the program?
Modern Compliance: Best Practices for Securities & Compliance; Compiled and edited by David H. Lui and John H. Walsh, will be used in all courses. The Modern Compliance book is offered complimentary by NSCP upon registration for the program. There will also be some additional text books required for some courses.

I am already an expert in one of the six courses. If I can prove my expertise in this area, can this count towards receiving credit?
No, Utica College does not offer this in their academic programs.

What if I have already taken a course at another accredited college? Will these credits transfer and apply?
Utica College will consider the transfer of credits on a case-by-case basis. Contact Utica College Admissions directly to inquire about credit transfer.

My employer would like for me to take the course on Assurance and Forensic Auditing. Am I able to just take one of the courses without going through the entire program?
Yes, but you will have to meet the academic requirements and follow the same application process as those applying for the full program, since you would receive academic credit for the one course.

I have been accepted into the program! What is my next step?

  • You will need to obtain:
    1. A letter of recommendation from your current employer
    2. Official transcripts from schools you have attended, including a final transcript from your undergraduate school showing that you received a bachelor’s degree.
  • You will receive a phone call and a letter of acceptance from Utica College.
  • You will receive a letter from the program director at Utica College with specific information for the online learning system and course materials.

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