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.
2021 NSCP Events
Virtual Half Day Educational Seminars:
• January 28
• February 18
• March 18
• April 21
• April 27
• May 25
• June 22
Virtual Regulatory Interchange Webinars:
• March 9
• May 11
• June 8
• July 20
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:
We Can’t Wait to See You In-Person at the 2021 NSCP National Conference
November 8-10, 2021 Gaylord National National Harbor, Maryland Here’s a sneak peek at our agenda and rates. Registration to open in early June. [av_button label='CONFERENCE AGENDA' link='manually,https://national.nscpconferences.org/agenda/' 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=''] [av_button label='CONFERENCE RATES' link='manually,https://national.nscpconferences.org/fees-2/' 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=''] [av_hr class='invisible' height='40' shadow='no-shadow' position='center' custom_border='av-border-thin' custom_width='50px' custom_border_color='' custom_margin_top='30px' custom_margin_bottom='30px' icon_select='yes' custom_icon_color='' icon='ue808' font='entypo-fontello' custom_class='' admin_preview_bg=''] CHECK OUT THE 2021 EXHIBIT HALL > [av_hr class='invisible' height='40' shadow='no-shadow' position='center' custom_border='av-border-thin' custom_width='50px' custom_border_color='' custom_margin_top='30px' custom_margin_bottom='30px' icon_select='yes' custom_icon_color='' icon='ue808' font='entypo-fontello' custom_class='' admin_preview_bg='']
A Look at What We Accomplished Together in the First Quarter of 2021
NSCP in Action
[av_hr class='invisible' height='30' shadow='no-shadow' position='center' custom_border='av-border-thin' custom_width='50px' custom_border_color='' custom_margin_top='30px' custom_margin_bottom='30px' icon_select='yes' custom_icon_color='' icon='ue808' font='entypo-fontello' custom_class='' admin_preview_bg='']As the first quarter of 2021 concludes, we want to reflect on the many accomplishments of our Members and Volunteers over the past three months.
So what happened?
Our updated Events website features upcoming 2021 NSCP Educational Seminars and Regulatory Interchanges. Learn more about these events featuring descriptions, speaker info and more.
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Our members discussed these topics in the Compliance Forum:
- Client Commission Arrangements under Section 28(e) of the Exchange Act
- Mutual Fund Share Class Analysis
- Foreign Language E.comm Surveillance and Expert Network Chaperoning
- SEC Focusing on IRA Distributions During Examination
- State Registration of Supervisors
- Social Media Archiving & Employee Individual Pages
- Offering an 'Unsubscribe' Option in Marketing Emails
- New Advertising, Marketing and Solicitation Rules. Allowing Paid Endorsements and Testimonials.
- ERA Converting to SEC Registrant - To File or Not To File Form PF?
- SEC Releases 2021 Examination Priorities
March commemorated the observance and celebration of the vital role of women in American history. NSCP honors this month by sharing leadership lessons and workplace insights that Compliance professionals everywhere can learn and grow. There have been numerous books written on successful women in the financial services industry. The books referenced below exemplify a small sampling and are not intended as recommendations by NSCP’s Diversity and Inclusion Committee.
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Time Management:
[av_hr class='invisible' height='20' shadow='no-shadow' position='center' custom_border='av-border-thin' custom_width='50px' custom_border_color='' custom_margin_top='0px' custom_margin_bottom='30px' icon_select='yes' custom_icon_color='' icon='ue808' font='entypo-fontello' custom_class='' admin_preview_bg='']
Drop The Ball
Achieving More By Doing Less
By Tiffany Dufu
Buy at Amazon.com
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Workplace Dynamics:
[av_hr class='invisible' height='20' shadow='no-shadow' position='center' custom_border='av-border-thin' custom_width='50px' custom_border_color='' custom_margin_top='30px' custom_margin_bottom='30px' icon_select='yes' custom_icon_color='' icon='ue808' font='entypo-fontello' custom_class='' admin_preview_bg='']
The Likeability Trap
How to Break Free and Succeed as You Are
By Alicia Menendez
Buy at Amazon.com
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Communications Skills:
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Radical Candor By Kim Scott
Buy at Amazon.com [av_hr class='custom' height='50' shadow='no-shadow' position='center' custom_border='av-border-thin' custom_width='600' custom_border_color='' custom_margin_top='0px' custom_margin_bottom='30px' icon_select='no' custom_icon_color='' icon='ue808' font='entypo-fontello' custom_class='' admin_preview_bg='']Motivation:
[av_hr class='invisible' height='20' shadow='no-shadow' position='center' custom_border='av-border-thin' custom_width='50px' custom_border_color='' custom_margin_top='30px' custom_margin_bottom='30px' icon_select='yes' custom_icon_color='' icon='ue808' font='entypo-fontello' custom_class='' admin_preview_bg='']
Everything Is Figureoutable By Marie Forleo
Buy at Amazon.com [av_hr class='custom' height='50' shadow='no-shadow' position='center' custom_border='av-border-thin' custom_width='600' custom_border_color='' custom_margin_top='0px' custom_margin_bottom='30px' icon_select='no' custom_icon_color='' icon='ue808' font='entypo-fontello' custom_class='' admin_preview_bg='']Leadership Lessons:
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Act Like a Leader, Think Like a Leader By Herminia Ibarra
Buy at Amazon.com [av_hr class='custom' height='50' shadow='no-shadow' position='center' custom_border='av-border-thin' custom_width='600' custom_border_color='' custom_margin_top='0px' custom_margin_bottom='30px' icon_select='no' custom_icon_color='' icon='ue808' font='entypo-fontello' custom_class='' admin_preview_bg='']Confidence Building:
[av_hr class='invisible' height='20' shadow='no-shadow' position='center' custom_border='av-border-thin' custom_width='50px' custom_border_color='' custom_margin_top='30px' custom_margin_bottom='30px' icon_select='yes' custom_icon_color='' icon='ue808' font='entypo-fontello' custom_class='' admin_preview_bg='']
Brave, Not Perfect Fear Less, Fail More, and Live Bolder By Reshma Saujani
Buy at Amazon.com [av_hr class='custom' height='50' shadow='no-shadow' position='center' custom_border='av-border-thin' custom_width='600' custom_border_color='' custom_margin_top='0px' custom_margin_bottom='30px' icon_select='no' custom_icon_color='' icon='ue808' font='entypo-fontello' custom_class='' admin_preview_bg='']Advice for Managers:
[av_hr class='invisible' height='20' shadow='no-shadow' position='center' custom_border='av-border-thin' custom_width='50px' custom_border_color='' custom_margin_top='30px' custom_margin_bottom='30px' icon_select='yes' custom_icon_color='' icon='ue808' font='entypo-fontello' custom_class='' admin_preview_bg='']
The Making of a Manager What To Do When Everyone Looks To You By Julie Zhou
Buy at Amazon.com [av_hr class='custom' height='50' shadow='no-shadow' position='center' custom_border='av-border-thin' custom_width='600' custom_border_color='' custom_margin_top='0px' custom_margin_bottom='30px' icon_select='no' custom_icon_color='' icon='ue808' font='entypo-fontello' custom_class='' admin_preview_bg='']Empowerment:
[av_hr class='invisible' height='20' shadow='no-shadow' position='center' custom_border='av-border-thin' custom_width='50px' custom_border_color='' custom_margin_top='30px' custom_margin_bottom='30px' icon_select='yes' custom_icon_color='' icon='ue808' font='entypo-fontello' custom_class='' admin_preview_bg='']
Professional Troublemaker The Fear-Fighter Manual By Luvvie Ajayi Jones
Buy at Amazon.com [av_hr class='custom' height='50' shadow='no-shadow' position='center' custom_border='av-border-thin' custom_width='600' custom_border_color='' custom_margin_top='0px' custom_margin_bottom='30px' icon_select='no' custom_icon_color='' icon='ue808' font='entypo-fontello' custom_class='' admin_preview_bg=''] 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. [av_button label='LEARN MORE & BECOME A MEMBER' link='manually,https://nscp.org/membership-benefits/' link_target='' 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='']
Gain valuable insight and practical tools to enhance your compliance skills.
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