CSCP Exam Prep Program

CSCP Exam Prep Program


Certified Securities Compliance Professional (CSCP) Exam Preparatory Program


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. 

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.

Highlights of the new offering include:

  • On-Line Course Curriculum: Utica College 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 College.


Tuition cost for the entire certificate is $5,940.  Some fees may apply.

    Earn Credits Toward a Master’s Degree at Utica College

    Complete the certificate program and earn transferrable credits towards Utica College graduate programs in related areas, including:
    • Cybersecurity and cyber policy
    • Financial crime and compliance
    • Business administration (MBA) programs


    Tuition cost for the entire certificate is $5,940.  Some fees may apply.





    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).

    (315) 792-3006
    1600 Burrstone Road | Utica, NY 13502