In collaboration with the National Society of Compliance Professionals (NSCP), Utica College 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.
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.
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.
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).