About CSCP

The Certified Securities Compliance Professional (CSCP) is a graduate-level program for experienced securities professionals, offered through the University of St. Thomas in collaboration with the National Society of Compliance Professionals (NSCP).  Upon successful completion of the academic course and the CSCP certification exam, candidates will be granted the CSCP designation offered by NSCP.

The certification obtained at the completion of the final exam distinguishes individuals with intermediate to advanced proficiency and a commitment to advancing securities compliance practices.  The focus of the course will be on Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) regulated financial services firms with a particular emphasis on Investment Advisers and Broker Dealers.

CSCP Program Highlights:

  • 14-week course delivered online
  • Instructors are leading financial services industry professionals
  • CSCP examination offered for BD, IA or Dual Registrants
  • Discounted NSCP membership*
  • Three graduate-level academic credits are awarded by the University of St. Thomas with successful completion of the course, which can be applied to the online MSL degree program in Organizational Ethics & Compliance
  • Cost: $3,000 (Includes the CSCP certification exam fee)
  • Fall 2020 offering: The course will run 14 weeks, September 8, 2020 to about December 13, 2020.

Areas of Compliance Covered:

  • Compliance program management including risk assessment and risk management
  • Developing, monitoring and testing policies and procedures
  • Ethics and Conflicts of Interest
  • Client Communications and Client Protection
  • Regulatory Risk Management
  • Regulatory Filings
  • Books and Records

CSCP Program Registration Qualifications:

  • Bachelor’s Degree from an accredited college/university required

CSCP Designation Use Qualifications:

  • Member of NSCP
  • A minimum of three years employment in the financial securities industry is required in order to use the CSCP designation
  • Recertification bi-annually (See Recertification Requirements Here)

For more information, please contact:
Colleen Dorsey
Director, Organizational Ethics & Compliance Programs
University of St. Thomas