Post-Baccalaureate Certificate in Financial Regulatory Compliance
Certificate Level: Graduate
Admission Requirements: Bachelor's degree or higher
Certificate Type: Post-Baccalaureate
Number of Credits to Completion: 20.0
Instructional Delivery: Online; Campus
Calendar Type: Quarter
Expected Time to Completion: 1.5 years
Financial Aid Eligibility: Not aid eligible
Classification of Instructional Program (CIP) Code: 22.0205
Standard Occupational Classification (SOC) Code: 23-1011
About the Program
The certificate in Financial Regulatory Compliance is a post-baccalaureate, non-degree program designed for individuals to develop and improve career-related skills in the focused area of financial services compliance. The program includes a core of legal compliance and risk assessment classes and in-depth study of crucial issues in financial services regulation. Ideal candidates include individuals working in the financial services industry in mutual funds, brokerage firms, banks, and other financial institutions who would benefit from focused legal knowledge regarding financial regulations compliance, as well as individuals seeking career changes into these fields.
Admission Requirements
- A completed application
- Official transcripts from all universities or colleges and other post-secondary educational institutions (including trade schools attended)
- Resume
- Additional requirements for international students
This program is designed to be completed on a part-time basis and requires 20.0 credits. Students usually finish this program in 1.5 years. If a student needs to decelerate, they should not exceed 2.5 years. Students may apply for transfer into the Master of Legal Studies program prior to completing their certificate and apply all earned credits toward the Master of Legal Studies.
This program is offered fully online with no in-person or on-campus requirements.
Additional Information
For more information, visit the Graduate Certificate in Financial Regulatory Compliance website.
Program Requirements
| LSTU 551 | Compliance Skills: Auditing, Investigation & Reporting | 4.0 |
| LSTU 554 | Risk Assessment and Management | 4.0 |
| Choose three from the list below: | 12.0 | |
| Foundations of Financial Regulation | ||
| Legal Regulation of Global Financial Crimes | ||
| Legal Regulation of Investment Advisers | ||
| Legal Regulation of Investment Companies | ||
| Broker/Dealer Regulation | ||
| Banking Law | ||
| Total Credits | 20.0 | |
Sample Plan of Study
| First Year (Part-Time) | ||
|---|---|---|
| Fall | Credits | |
| LSTU 551 | Compliance Skills: Auditing, Investigation & Reporting | 4.0 |
| Credits | 4 | |
| Winter | ||
| LSTU 554 | Risk Assessment and Management | 4.0 |
| Credits | 4 | |
| Spring | ||
| LSTU 649 | Foundations of Financial Regulation | 4.0 |
| Credits | 4 | |
| Summer | ||
| VACATION | ||
| Credits | 0 | |
| Second Year (Part-Time) | ||
| Fall | ||
| LSTU 650 | Legal Regulation of Global Financial Crimes | 4.0 |
| Credits | 4 | |
| Winter | ||
| LSTU 651 | Legal Regulation of Investment Advisers | 4.0 |
| Credits | 4 | |
| Total Credits | 20 | |