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:
- March 3: Newport Beach Regulatory Interchange
- March 18: Denver Regulatory Interchange
- April 20: Chicago Spring Conference
- April 21: Chicago Regulatory Interchange
- June 4: New York Regulatory Interchange
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:
NSCP has submitted a comment letter on proposed amendments to Rule 206(4)-1 (the Advertising Rule) and Rule 206(4)-3 (the Solicitation Rule) under the Investment Advisers Act of 1940. The comments relate to the obligations of Chief Compliance Officers under the proposed amendments to the Advertising and Solicitation Rules.
NSCP would like to express its gratitude to the members of the ad hoc Comment Letter Committee for their time in preparing the comment letter on behalf of NSCP members.
Genna Garver, Partner, Troutman Sanders LLP (Chair)
Jeffrey Blumberg, Partner, Faegre Drinker Biddle & Reath LLP
Michelle Canela, Director, Compliance, Intech Investment Management LLC
Steven Hansen Esq., Morgan Lewis & Bockius LLP
Mitzie Pierre, Chief Compliance Officer, IFM Investors
If you are interested in volunteering to assist with writing future comment letters, please login to the NSCP MemberCenter and join our Forums and Committees today.
NSCP is now 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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If you missed these sessions at the 2019 NSCP National Conference, please join us for four webinars based on conference sessions.
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Don’t miss this opportunity to interact with FINRA and SEC regulators and hear about the latest regulatory initiatives on March 18 in Denver, CO.
The NSCP Regulatory Interchange will provide an informal setting for industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss the issues most pressing to them before meeting with regulators. [av_button label='REGISTER TODAY' 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='']
