Post-Baccalaureate Certificate in Financial Regulatory Compliance

Certificate Level: Graduate
Admission Requirements: Bachelor's degree
Certificate Type: Post-Baccalaureate
Number of Credits to Completion: 18.0
Instructional Delivery: Online
Calendar Type: Semester
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: 33-1011

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.

*Note: This program is now being offered on the quarter schedule only.  Please refer to the Financial Regulatory Compliance (Certificate)- Quarter Calendar program.

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 18.0 semester 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 in to the Master of Legal Studies program prior to completing their certificate, and apply all earned credits toward the Master of Legal Studies.

Program Requirements

LAW 700SBusiness Organizations3.0
LSTU 501SCompliance Skills: Auditing, Investigation & Reporting3.0
LSTU 507SRisk Assessment and Management3.0
Choose three from the list below:9.0
Legal Regulation of Investment Advisers
Legal Regulation of Investment Companies
Broker/Dealer Regulation
Banking Law
Total Credits18.0

Sample Plan of Study

First Year (Part-Time)
LSTU 501S3.0LSTU 507S3.0
LAW 700S3.0LAW 735S3.0
 6 6
Second Year (Part-Time)
LAW 736S3.0 
LAW 734S3.0 
Total Credits 18