Learn about the different ways you can contribute

As the only professional community “For Compliance, By Compliance”, NSCP relies upon and celebrates its volunteers for their value as a resource to our community of like-minded peers.

Volunteerism ranges from short-term to long-term opportunities, as simple as becoming a thought leader or Ambassador to taking on a leadership role on our Board of Directors. Get involved and discover why volunteering is both personally and professionally rewarding.

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See What Opportunities Are Available Now

Writing Opportunities - NSCP Currents

NSCP Currents features in-depth articles tackling issues important to Broker Dealers, Investment Advisers, Investment Companies, Municipal Advisors, Private Funds, and Hedge Funds in the United States and Canada. NSCP Currents is read by over 2,000 members each month who can benefit from your guidance and expertise.

Positioned as the premier compliance publication of the financial services industry, NSCP Currents articles offer best practices; real-world interpretations of securities regulations and their impact on compliance; practical advice on compliance initiatives; tools and other resources to assist compliance professionals; and articles of a general nature applicable to all members regardless of their business.

We invite you to share your experiences, advice, and tried and tested strategies. If you would like to write for NSCP Currents, please click the button below to review our Guidelines and to submit an article.

  • Short term commitment
  • Estimated 5 hours minimum per project

WRITING OPPORTUNITIES

Speaking Opportunities

NSCP is looking for new ideas and dynamic new presenters who face the same day-to-day challenges as our membership and other industry professionals.

We invite you to share your experiences, advice, and tried and tested strategies. If you would like to speak for NSCP, please click the button below to review our Speaker Guidelines and complete the Speaker Survey.

  • Short-term commitment
  • Estimated 10 hours per project
  • Travel required

SPEAKING OPPORTUNITIES

Member-In-Charge

NSCP Members-in-Charge are facilitators of success at NSCP’s on-site events. Often known for being approachable, knowledgeable and above all else, willing to lend a helping hand, NSCP Members-in-Charge assist with getting sessions started on time, speaker introductions, Q&A session moderation and serving as a liaison between attendees and speakers.

  • Short-term commitment
  • Estimated 1-2 hours per event
  • Travel required

SIGN UP TO BECOME A MEMBER IN CHARGE

Become an Ambassador

NSCP Ambassadors understand the value that our association brings to the compliance community and possess a desire to spread the word with those around them. NSCP Ambassadors may be called upon to offer a guiding hand to professionals consider joining our Member Community, or those new members looking to make a connection.

  • Long-term commitment
  • Estimated 1 hour minimum per month

BECOME AN AMBASSADOR

NSCP Forum Intern

NSCP Industry Forums are virtual meetings where our most engaged members gather monthly to discuss regulatory hot topics, emerging trends, enforcement cases and ways to shape industry best practices. NSCP Forum Interns would assist Forum Chairpersons with preparation for Forum Meetings by researching and developing monthly forum agenda topics and community conversations.

  • Long-term commitment
  • Estimated 2-5 hours per month

BECOME A FORUM INTERN

Working Committees

NSCP Member benefits can only be delivered because of the dedication and commitment of our volunteers. Working Committee members may consider participating in the NSCP Publications Committee, Conference Committee and NSCP Membership Affairs Committee. If you’re committed to the continued enhancement of NSCP’s member benefits, we encourage you to be part of the reason why NSCP remains “For Compliance, By Compliance.”

  • Long-term commitment
  • Estimated 5 hours minimum per month

JOIN A WORKING COMMITTEE

Member Center Resource Library

Help us update and maintain our Member Center’s Resource Library and assess the value of our materials to our membership.

UPDATE AND MAINTAIN THE RESOURCE LIBRARY

Board of Directors Nomination Form

2021 NSCP BOARD OF DIRECTORS NOMINATION FORM 

About NSCP Board of Directors
The National Society of Compliance Professionals (“NSCP”) Nominating Committee would appreciate your recommendations for candidates for the NSCP Board of Directors 2021 election.  You may nominate yourself or someone else using the form below.  Multiple nominations are permitted. 

NSCP is a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the financial services industry in the U.S. and Canada. NSCP is the largest organization of financial services industry professionals devoted exclusively to serving compliance professionals. The principal purpose of NSCP is to enhance compliance in the securities industry, including firms' compliance efforts and programs and to further the education and professionalism of the individuals implementing those efforts.  Accordingly, NSCP’s sole focus is on the interests of compliance professionals and enhancing their effectiveness as they help guide their firms to achieve outcomes that promote investor protection and market integrity.

Board members act in the broad interest of NSCP, not as representatives of specific constituencies.  Therefore, those you nominate (yourself included, if you choose) should possess qualities of vision and leadership and be able to commit the time and energy required for a three-year term beginning on Sunday, November 7, 2021 at the Board’s in-person Board meeting at NSCP’s 2021 National Conference in National Harbor, MD.


Prerequisites for Board Nomination:

  1. NSCP member in good standing for the prior three years, unless formerly ineligible for membership; e.g. ex-regulator.
  2. Active engagement as a NSCP volunteer. For a list of the types of activities that demonstrate active engagement please see the following link.  https://nscp.org/volunteer-home/

The Nominating Committee seeks candidates who will bring wisdom, effectiveness, diversity, candor and creative thinking to the Board.  In choosing among candidates to develop the nominee slate, in addition to other relevant factors, the Nominating Committee considers each candidate’s background and experience in the following areas:

  1. Technical competency and knowledge of securities compliance best practices, rules and regulations and industry standards;
  2. How the candidate’s professional background and contributions will complement those of the current Board members and other nominees;
  3. Both strong oral and written communication skills;
  4. The candidate’s demonstrated integrity, objectivity and discipline;
  5. Active engagement in NSCP activities. 


The following FAQs describe what it means to be a member of NSCP’s Board of Directors:

How many Board of Director slots are open for 2021? What criteria does the Nominating Committee consider in reviewing and choosing a slate of Board nominees?
There will be seven Board of Director’s seats open for 2021.  Per NSCP by-laws, the Board has discretion to not fill all open Board seats.

In evaluating each individual being considered for nomination to the NSCP Board of Directors, the Nominating Committee’s considerations include, but are not limited to the following criteria:

  • Length of time in the securities compliance profession.
  • Seniority of position with current employer.
  • Previous positions held, including, in particular, positions with industry regulators.
  • Area(s) of expertise.
  • Length of NSCP Membership.
  • Absence of adverse regulatory history.
  • Demonstrated commitment to and participation in NSCP’s continuing and ad hoc efforts.
  • Distribution of firms (by geography, size, business activities).
  • Previous board experience.
  • Board composition.  At least two-thirds of the Board of Directors shall be persons that provide in-house compliance-related services to companies within the financial service industry and no more than one-third of the Board of Directors shall consist of third-party service providers or vendors.

What do Board members do?

  • Oversee the corporate and financial governance of NSCP.
  • Ensure effective strategic planning.
  • Review and approve proposed budget and dues structure.
  • Support and evaluate the performance of Executive Director.
  • Serve as an ambassador for NSCP by encouraging compliance professionals to join as members and participate in events and programs. 
  • Participate in NSCP conferences and educational offerings.
  • Participate on Board and NSCP committees and if desired, speak at NSCP conferences.
  • Assist NSCP staff when requested.

When do Board members meet?

Board members meet bi-monthly for a 75-minute conference call with the exception of the in-person Board meeting, held prior to NSCP’s National Conference at the conference location and annual business meeting during the conference. Board members are expected to attend all bi-monthly Board meetings, with exceptions only as outlined in NSCP’s Board Attendance Policy.  Attendance at the in-person Board meeting and annual business meeting is mandatory.

Board members may also convene for ad hoc Board meetings to address specific challenges facing the association or to review organizational, financial or governance matters.

How long do Board members serve?

Elected members serve three-year terms. Board members in good standing are eligible for a second term.

Are Board members compensated?

Board members receive no compensation or honoraria for the services.  Board members receive complimentary registration to NSCP conferences.

Contact Information













Background

Choose all the apply

Choose all the apply

Choose all the apply



Sponsor and References

Board nominees must be sponsored by a former or current NSCP Board member and must provide two references that are a member of NSCP and/or Staff.

Sponsor
See the current NSCP Board of Directors List and/or Contact NSCP Staff for help connecting with a sponsor.

*Please note: NSCP Staff including the Executive and Deputy Executive Directors may not be sponsors.



Reference 1



Reference 2



Biography

Certify
Deadline
The deadline date for nominee submissions is May 8, 2021.

Contact Information

BECOME A MEMBER