About CSCP

The Certified Securities Compliance Professional (CSCP) is a graduate-level program for experienced financial services compliance 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 one of the CSCP designations, IA-BD, BD or IA, 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: $3000.00 plus a nominal technology fee (includes the CSCP certification exam fee)
  • Spring 2022 offering: The course will run January 18, 2022 to May 2, 2022

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