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.
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 2019 Spring Events
Don’t miss these NSCP Spring Events – registration to open in January
- February 4 – Regulatory Interchange in Newport Beach, CA
- March 4 – Regulatory Interchange in Miami FL
- Early April – Regulatory Interchange in New York
- April 30 – May 1 – Spring Conference and Regulatory Interchange in Chicago, IL
*The Spring Conference will offer two training tracks, designed for new and for seasoned professionals:
- TRACK 1: Building Core Competencies – BD & IA Training for New Compliance Professionals
- TRACK 2: Today’s Issues and Insights – Coverage for Seasoned Professionals
NSCP News & Updates:
SEC Commissioner Peirce’s Address at the National Conference offers an optimistic view on the importance of the role of Compliance. MORE INFORMATION HERE
This month’s feature Podcast will be Elizabeth Cope’s Part 3 conclusion to the “How to Master the Annual Review and Promote a Culture of Compliance” series. Join us to find out how to wrap it all up! You can listen and subscribe at the following podcast networks. We look forward to your comments and reviews! GET IT HERE NSCP Currents Podcast is now also available on Spotify. If you have an account, just search “NSCP” and subscribe today.
And just like that, school is back in session and the dog days of summer are but a memory. While we hope everyone enjoyed some personal time off, we know that many of you remained dedicated and focused on the tasks at hand. In Q3, NSCP volunteers put in some serious work. Thanks to you all, as we’re setting ourselves up for an exciting and productive Q4! READ THE NEWSLETTER
This month’s feature Podcast is Patrick Hayes’ “Current Trends in SEC Exams – What to Expect”. If you haven’t been examined in a while, listen in to help you identify key risk areas affecting your firm to help ensure your firm puts its best foot forward the next time the SEC comes in to kick the tires. You can listen and subscribe at the following podcast networks. We look forward to your comments and reviews! GET IT HERE NSCP Currents Podcast is now also available on Spotify. If you have an account, just search “NSCP” and subscribe today.
