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 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 

LSTU 551Compliance Skills: Auditing, Investigation & Reporting4.0
LSTU 554Risk Assessment and Management4.0
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 Credits20.0

Sample Plan of Study 

First Year (Part-Time)
FallCreditsWinterCreditsSpringCreditsSummerCredits
LSTU 5514.0LSTU 5544.0LSTU 6494.0VACATION
 4 4 4 0
Second Year (Part-Time)
FallCreditsWinterCredits  
LSTU 6504.0LSTU 6514.0  
 4 4  
Total Credits 20
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