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 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:
Securities and Exchange Commissioner Hester M. Peirce was interviewed on Episode 10 of The Securities Compliance Podcast: Compliance in Context™, co-sponsored by Calfee, Halter & Griswold LLP and the National Society of Compliance Professionals, by host Patrick D. Hayes, Senior Counsel and leader of Calfee’s Investment Management practice.
Peirce spoke in-depth on a variety of topics such as Chief Compliance Officer (CCO) liability, outsourced CCOs, the new Marketing Rule, and cryptocurrencies. She also spoke about the new presidential administration, which will bring in a new SEC Chair and Head of Enforcement, and whether she anticipates a slowdown in dialogue that has taken place between the regulators and the industry on the issue of CCO liability.
The Securities Compliance Podcast: Compliance in Context is designed as a personal master class for the securities industry’s legal and compliance professionals. The podcast embodies Hayes’ passion for combining the technical expertise shared by industry thought leaders and innovators with the practical experience of industry professionals and key decision makers.
Click below to listen to the full episode with Commissioner Peirce’s interview.
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Listeners will also find the podcast on Apple Podcast, Google Podcast, Spotify, and Stitcher.
- You choose! Attend as many or as few as you like by choosing the seminar topics that most interest you.
- Convenience! Attend virtually from the comfort of your home or office.
- Time Savings! Join us for two 75-minute educational sessions in a 3-hour time block – then the rest of the day is yours.
- Value! Low cost registration fees fit easily within your budget.
- Continuing Education Credits! 2.5 credits offered for CLE and CSCP programs per seminar.
- Practical Takeaways! Receive useful tools, best practices and valuable knowledge to help you succeed.
NSCP’s 12 Virtual Half Day Educational Seminars
JANUARY 28th SEMINARS 1. Starting with the End Results in Mind: Tips for Remote Supervision and Remote Audits 2. Cybersecurity: Am I a Compliance Officer or an Information Security Officer? FEBRUARY 18th SEMINARS 3. Incorporating SEC & FINRA Exam Priorities into Your Compliance Program 4. Make it Matter: Effective Risk Management MARCH 18th SEMINARS 5. Conflicts of Interest: A Closer Look 6. Hot Topics in Compliance: Best Practices for Managing Through Uncertainty APRIL 27th SEMINARS 7. Essential Skills for Compliance Program Management 8. Communication & Professional Interaction for Compliance Professionals MAY 25th SEMINARS 9. Maximize Your Vendor Management Program 10. From Theory to Practice: Managing a Robust Code of Ethics Program JUNE 22nd SEMINARS 11. If you Build It, They Will Come: Leveraging Compliance Technology & Automation 12. Sharing Solutions: Implementing the New SEC Advertising Rule [av_button label='VIEW SEMINAR DETAILS' link='manually,https://seminars.nscpconferences.org/' 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='full' height='20' shadow='no-shadow' position='center' custom_border='av-border-thin' custom_width='20px' custom_border_color='' custom_margin_top='30px' custom_margin_bottom='20px' icon_select='yes' custom_icon_color='' icon='ue808' font='entypo-fontello' custom_class='' admin_preview_bg='']Virtual Regulatory Interchange Webinars Featuring FINRA, SEC, DOL and NASAA
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A personal master class for the securities legal and compliance professional
NSCP presents The Securities Compliance Podcast, hosted by Patrick Hayes, investment management counsel at Calfee, Halter & Griswold. As a personal master class for the securities legal and compliance professional, Patrick’s passion is to help you put Compliance In Context™ by combining the technical expertise of industry thought leaders and innovators with the practical experience of doers and key decision-makers. Listen today to help elevate your firm’s compliance program and take your career to new heights. [av_button label='LISTEN & SUBSCRIBE' link='manually,https://www.complianceincontextpodcast.com/' 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='']
