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. The program is open for enrollment in the fall and spring semesters for part-time students. Eight 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 4 credits may be selected from qualifying courses in the LLM in Banking & Financial Law program curriculum: Banking Structure and Regulation, Pooled Funds and the Regulation of the Funds Industry, Compliance Programs for Major Financial Services Institutions, and Consumer Financial Services.

Learning Outcomes

Upon completion of the certificate:

  • Students will be able to identify and describe the structural components, operational elements, and analytical framework for a compliance function of a major financial institution.
  • Students will 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.
  • Students will demonstrate an understanding of the necessary professional skills of a financial institution compliance officer, including analytical skills, project management, use of data, and risk sensitivity.

Program Requirements

The Certificate in Financial Services Compliance is open to lawyers and non-lawyers who are eager to learn and join one of the fastest-growing careers in the financial services industry in compliance. The curriculum is specifically tailored to individuals looking to become leading compliance officers. Course credits can be used to provide advanced standing into the LLM in Banking & Financial Law program upon certificate completion, provided a student gains admission to the LLM program.