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 Upcoming Events
Save the Date for Upcoming Events:
- October 19-21: NSCP National Conference – Virtual
- December 3: NSCP Regulatory Interchange – Boston, MA
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:
Don’t miss former regulator and CCO Christian Hunt’s keynote address at the NSCP National Conference
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Don’t Miss Hearing From Commissioner Hester Peirce and Robert Cook at the National Conference
NSCP National Conference – Virtual October 19-21, 2020
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Join us on August 10th at 2:00pm ET
Join Eversheds Sutherland attorneys, Carol McClarnon and Issa Hanna, and Jeannie Lewis from William Blair as they review and discuss the DOL Fiduciary Proposal. These speakers will provide an update on the emerging patchwork of standards of conduct applicable to broker-dealers, investment advisers, insurance distributors and other intermediaries. The program will also include a comparative analysis of the different standards of conduct that will highlight opportunities for firms to leverage existing compliance infrastructure, as well as potential gaps they should be considering. [av_button label='REGISTER' link='manually,https://us02web.zoom.us/webinar/register/WN_ngxSsRDDSP-7O9o3Zs29Fw' 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='']
Monday August 3rd Member Call: Navigating the Regulatory Environment in Response to COVID-19
Join us on Monday, August 3rd 5:30 pm ET / 2:30 pm PST
In our continued effort to help members navigate the regulatory environment in light of COVID-19, NSCP is holding monthly member calls. Our next call is Monday, August 3rd at 5:30 pm EST/2:30 pm PST. Monday’s guest speaker will be Craig Moreshead, Managing Director, Foreside Financial. Mr. Moreshead will be discussing vendor due diligence, including sub-advisers, in the age of COVID-19. He will also discuss questions to consider before outsourcing your firm’s CCO position. If there are specific questions or issues you wish to have guidance on, please post on NSCP’s MemberVoice portal. We encourage you to post your questions and assist other members in answering their questions regarding COVID-19 regulatory concerns on NSCP’s Compliance Forum or Industry Forums. Members no longer need to register for these events. Login and access the event details here: [av_button label='EVENT DETAILS' link='manually,https://community.nscp.org/home' 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=''] Not a Member? Become one today: https://nscp.org/membership This call series is intended for NSCP Members only. These calls may not be shared with or accessed by non-members including Press and Regulators
