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 – Denver, CO
- October 19-21: NSCP National Conference – Baltimore, MD
- 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:
NSCP as an organization is committed to diversity and inclusion. The Staff and Leadership of the NSCP are saddened and distressed by the events of the past week and stand against discrimination, systemic racism, and bigotry of any kind. This organization’s motto – For Compliance, By Compliance – underlies our commitment to inclusion across race, gender, age, religion, identity, and experience. We are committed to our membership reflecting diversity and inclusion, and we are intent on furthering that diversity by empowering all compliance professionals to pursue their goals and fulfill their career aspirations. For those members who have been impacted by the recent events – whether the death of George Floyd and the many similar incidents in the US that preceded it or the COVID-19 pandemic and the discrimination that followed – we see you, we hear you and we stand with you.
In furtherance of our goals and in order to do more than just issue a statement, the Staff and Leadership of the NSCP will continue to work with the NSCP Diversity and Inclusion Committee to facilitate the important and necessary conversations around racial injustice and continue to provide diversity and inclusion resources for members to assist in creating communities that are truly collaborative and inclusive.
Lisa Crossley
Executive Director, NSCP
Bruce Karpati,
Chair, NSCP Board of Directors
Don't Miss Our Upcoming Webinar: How to Navigate Regulatory Change During a Pandemic Join us on June 18th at 2:00pm ET
As the pandemic drags the economy into recession, multiple federal agencies – including the Federal Reserve, the Federal Deposit Insurance Corporation, and the Consumer Financial Protection Bureau – have pledged to help businesses survive the downturn. The regulators are also urging banks to do their part during this global crisis. Regulators recommend that financial institutions work constructively with borrowers and other customers in affected communities. In this webinar, we will explore how banks can proactively navigate and advise around regulatory changes as we slowly come out of the “stay at home” period and how we can minimize the negative effects it will have on the industry as we move forward in 2020. [av_button label='REGISTER TODAY' link='manually,https://us02web.zoom.us/webinar/register/WN_IXez4b1yR4GSVpvEM9FOeQ' 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='']
Don't Miss Our Upcoming Webinar - Forward Thinking: New Focus Areas and How Compliance Programs Need to Change for 2020
Join us on June 16 at 2:00pm ET
Sheltering-in policies have required firms to work remotely and adjust the way they communicate with their clients – and each other. Join James Smith, Senior Compliance Consultant, Core Compliance & Legal Services, and Robert Ross, Senior Vice President and Chief Compliance and Risk Officer, Boston Private, in this webinar exploring integral areas that all broker-dealers and registered investment advisers should consider, particularly in response to COVID-19 and what their compliance programs need to include as we all look ahead toward the future. In this webinar, we will provide and cover:- An overview of regulatory expectations for disaster preparedness
- Business continuity – have you done enough and documented how you responded to the pandemic?
- Cybersecurity, internal controls and supervisory considerations for working remotely
- Client and vendor communications – regulatory guidance on what you should include
- A checklist of how to mitigate business and compliance risks going forward
Participate in this Virtual Conference from the comfort, convenience and safety of your own home or office. October 19–21, 2020. Offer available until June 14th.
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