Post-Baccalaureate Certificate in Financial Regulatory Compliance
Certificate Level: Graduate
Certificate Type: Post-Baccalaureate
Number of Credits to Completion: 15.0
Classification of Instructional Program (CIP) Code: 22.0205
Standard Occupational Classification (SOC) Code: 23-1011
About the Program
The certificate in Financial Regulation 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
Program Requirements
| Program Requirements | ||
| LSTU 5551 | Compliance Skills: Auditing, Investigation and Reporting | 3.0 |
| LSTU 5554 | Risk Assessment and Management | 3.0 |
| Choose three (3) from the list below: | 9.0 | |
| Foundations of Financial Regulation | ||
| Global Financial Crimes Compliance | ||
| Legal Regulation of Investment Advisers | ||
| Legal Regulation of Investment Companies | ||
| Broker-Dealer Regulation | ||
| Banking Law | ||
| Total Credits | 15.0 | |
Additional Information
For more information about this program, please contact the Thomas R. Kline School of Law