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
Save the Date for Upcoming Events:
- July 24: NSCP Regulatory Interchange – Virtual
- 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:
A Look at What We Accomplished Together in the Second Quarter of 2020
As the second quarter of 2020 concludes, we want to reflect on the many accomplishments of our Members and Volunteers over the past three months. So what happened? Our members discussed these topics in the Compliance Forum:- Unannounced branch exams
- Business concerns in lieu of COVID-19
- Form CRS for state registered RIAs
- FINRA warns of fraudulent phishing emails purporting to be from FINRA
- Insider trading case against private equity firm
- FINRA guidance on remote location supervision
- Regulatory relief from the SEC and MSRB
- SEC enforcements/exams and COVID-19
NSCP hosted the 2020 Virtual Spring Conference in April 2020. We also opened registration for our 2020 National Conference!
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As always – our priority is YOU. With the support of our working Committees, we are reviewing and redefining the experience our Members have on their professional journey. At our core, NSCP remains dedicated to creating a professional community, “For Compliance – By Compliance.”
It's amazing what we can accomplish when we crowdsource the collective expertise from peers.
Join the conversation. Join Us.
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NSCP is offering a restructured Certified Securities Compliance Professional (CSCP) program in partnership with the University of St. Thomas. CSCP is a graduate-level program for experienced financial services professionals. Upon completion of the academic course and the CSCP certification examination, candidates will be granted the CSCP designation offered by NSCP.
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Join us on July 24, 9:00 am –12:15 pm
Don’t miss our NSCP Regulatory Interchange with the SEC, DOL & FINRA: The NSCP Regulatory Interchange will provide an informal virtual setting for Investment Adviser, Private Fund and Broker-Dealer industry professionals to hear from the regulators and ask questions. Click below for more information and to register today! [av_button label='LEARN MORE & REGISTER' link='manually,https://nscpconferences.org/events/regulatory-interchange-denver/' 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='']
Participate in this Virtual Conference from the comfort, convenience and safety of your own home or office. October 19–21, 2020
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