The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry. NSCP is for compliance, by compliance. NSCP membership provides financial services compliance professionals with a wide range of resources including a community of like-minded peers, continuing education to further their knowledge and specialized skills, and regulatory involvement through representation of compliance interests.
Become A Member & Unleash Your Full Potential
Discover the wealth of compliance expertise and best practices in the pages of our regular publications, member center, forums and through networking with your fellow peers.
2020 NSCP Events
Thanks to everyone who attended our virtual 2020 National Conference. We look forward to seeing you next year.
Upcoming Event:
NSCP Jobline
A Valuable Resource For The Compliance Professional
Free to members, compliance openings may be posted for up to 30 days, and resumes may be posted for up to six months.
We’ve launched the NSCP MemberVoice, an anonymous and safe avenue for our Members to share their thoughts, stories, and experiences with regulators, and issues in complying with financial services regulatory requirements.
NSCP News & Updates:
Women of Color in Compliance
Join us on Monday, December 7, 2020 at 2:00 pm ET
“If they don't give you a seat at the table, bring a folding chair.” ― Shirley Chisholm Women of color are facing unique and difficult barriers in the workplace, and opportunities may seem less tangible. Join us for a candid discussion from a distinguished panel of women about how to navigate a career in compliance (and more broadly the financial services industry) as a woman of color. Panelists Mitzie Pierre, Chief Compliance Officer, IFM Investors, Dorinda Walker, Founder & CEO of Cultural Solutions Group and head of LEAD360 [HER] and moderator Hope Newsome, Managing Partner, Virtus LLP will discuss their career path and their experiences, challenges faced, ways to overcome the challenges and techniques to assist you with not only navigating, but advancing a career in the compliance profession. [av_button label='Register Now' link='manually,https://nscp.webex.com/mw3300/mywebex/default.do?nomenu=true&siteurl=nscp&service=6&rnd=0.7678099797259488&main_url=https%3A%2F%2Fnscp.webex.com%2Fec3300%2Feventcenter%2Fevent%2FeventAction.do%3FtheAction%3Ddetail%26%26%26EMK%3D4832534b000000041f3fbc723694b2bf1d7d2396816b8fd25f0f4504e398b82005c1fd04b05ef4f6%26siteurl%3Dnscp%26confViewID%3D177088688966105105%26encryptTicket%3DSDJTSwAAAAT2AgwGklTTfhc5AD4a1CYpbwKM00c8WxDM28cg-mqoFA2%26' link_target='_blank' size='small' position='left' icon_select='no' icon='ue800' font='entypo-fontello' color='theme-color' custom_bg='#444444' custom_font='#ffffff' custom_class='' admin_preview_bg='']
Join us on November 17th at 2:00pm ET
Tailored for CCOs, Janice Kitzman and Kim Cash, Cascade Compliance, and two industry compliance professionals, Grace Man, Franklin Templeton, and Irina Gorokhov, Metis Global, will highlight need-to-know reporting guidance published by the CFA Institute in the past few months. With December 2020 performance, GIPS compliant firms must have updated GIPS Reports. It’s the final deadline in the transition to the updated GIPS standards. This webinar will help you prepare and confirm best practices for your firm, covering:- Most-asked 2020 transition questions;
- When to use GIPS Composite Reports or GIPS Fund Reports, or both; and
- New guidance for presenting model and prior firm performance, and database implications.
Join us on November 12 at 2:00pm ET
Senior investors represent a high percentage of most firms’ assets under management. This group of investors has special considerations – from saving for retirement, the onset of potential health issues (such as dementia) and potential abuse from others (in the form of financial exploitation from relatives, cybercriminals and fraudsters). What steps are your firms taking to protect this investor group, and is it enough? Speaking on this subject area, in partnership with NSCP, are two industry veterans:- Michelle L. Jacko (CEO of Core Compliance & Legal Services and Managing Partner, Jacko Law Group, PC and two-time NSCP Board Member)
- Robert Hille (CCO/General Counsel of Laird Norton Wealth Management) will specifically address some of the industry’s most pressing questions regarding senior and vulnerable investor protections. Attendees of the webinar will learn:
- SEC expectations for protecting seniors
- New senior investor scams seen during the COVID-19 period
- How to build a compliance program to protect best practices and regulatory considerations/responses, specifically for senior investors
- Why the Senior Safe Act should be considered for implementation
- Best practices for identifying and responding to senior exploitation
Register now for this Virtual Event on December 3rd
Hear SEC, FINRA and DOL regulators address the compliance questions and topics that matter most to you. This event is eligible for CSCP credits. [av_button label='LEARN MORE & REGISTER' link='manually,https://nscpconferences.org/events/northeast/' link_target='_blank' size='small' position='left' icon_select='no' icon='ue800' font='entypo-fontello' color='theme-color' custom_bg='#444444' custom_font='#ffffff' custom_class='' admin_preview_bg='']
