Certificate in Financial Services Compliance

The Certificate in Financial Services Compliance provides the opportunity for lawyers and non-lawyers to take financial institution law courses offered by the School of Law’s Graduate Program in Banking & Financial Law, the oldest banking LLM program in the country. The 12-credit certificate program is taken online and can be completed in two to four consecutive semesters. Six credits, consisting of new courses developed specifically for the certificate program, deal with the history, structure, characteristics, and components of financial institution compliance. The remaining 6 credits may be selected from qualifying courses, including Banking Structure and Regulation, Pooled Funds and the Regulation of the Funds Industry, Compliance Programs for Major Financial Services Institutions, and Consumer Financial Services.

Students who qualify for the certificate will:

  1. Have the ability to identify and describe the structural components, operational elements, and analytical framework for a compliance function of a major financial institution;
  2. Demonstrate an understanding of the legal and regulatory framework for US financial institutions and the regulatory expectations for a robust compliance function at such institutions; and
  3. Possess the professional skills of a financial institution compliance officer, including analytical ability, project coordination, management of data, and identification of risks.