CSCP Exam Prep Program
Get the Gold Standard in Securities Compliance Certification.
Certified Securities Compliance Professional (CSCP) Exam Preparatory Program
In collaboration with the National Society of Compliance Professionals (NSCP), Utica University has created an on-line, instructor-led, graduate-level curriculum to prepare candidates for the CSCP examination.
The curriculum consists of six courses addressing the core principles of regulatory and industry compliance for investment advisers and broker-dealers.
Apply NowEarn Credits Toward a Master’s Degree at Utica University
Complete the certificate program and earn transferrable credits towards Utica University graduate programs in related areas, including:- Financial crime and compliance
- Business administration (MBA) programs
Program Highlights include:
- On-Line Course Curriculum: Utica University will offer an on-line, instructor-led, graduate-level curriculum to prepare candidates for the examination, and will qualify candidates for a graduate certificate in securities compliance.
- Separate Exams: The CSCP examination will be split into two separate question-banks, one for Investment Adviser and one for Broker-Dealer.
- Graduate Credits: The credits earned through the courses will count toward a graduate degree at Utica University.
Tuition:
Tuition cost for the entire certificate is $5,940. Some fees may apply.
Submit Your Application Today
Space is limited in this special certification exam preparation program, so reserve your place today. Complete a brief survey and we will waive your application fee.
Certified Securities Compliance Professional (CSCP)
The only designation for both broker-dealers and investment advisers.
The National Society of Compliance Professionals (NSCP) certification program distinguishes individuals with intermediate to advanced proficiency and a commitment to advancing securities compliance practices, lifelong learning, and professional development. Candidates that achieve the CSCP credential will have successfully demonstrated expertise of both broker-dealer and investment adviser compliance best practices, rules and regulations, and industry standards.
Program Details
The CSCP preparatory program consists of six courses:
FCM 535 Legal & Regulatory Issues for Fraud Management
Structure and design of organizations with focus on systems theory and its impact with Economic Crime and applicability to today's environment
ACC 604 Seminar in Assurance and Forensic Auditing
Control and auditing of mainframe and networked information systems; assessment of audit risk, assurance methods, causes, consequences, prevention of audit failure
MGT 617 Corporate Ethics
Ethical issues and dilemmas that contemporary business professionals face in the performance of their duties
FCM 627 Fraud Management: Risk & Compliance
Application of principles and practices of compliance and operational risk assessment and mitigation to the management of fraud prevention detection, and investigation.
FCM 632 Information & Communication Security
Issues and concepts related to the protection of information and information systems. Threats and vulnerabilities to internal and external modes of communication. Securing communications, information systems, and computer technology. Legal, ethical, and privacy issues related to information security.
FCM 648
The focus will be on U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) registered investment advisers (RIAs) and broker-dealers (BDs).
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