“NSCP

The Certified Securities Compliance Professional (CSCP) is a graduate-level program for experienced financial services compliance professionals, offered through the University of St. Thomas in collaboration with the National Society of Compliance Professionals (NSCP). Upon successful completion of the academic course and the CSCP certification exam, candidates will be granted one of the CSCP designations, IA-BD, BD or IA, offered by NSCP.

Apply now for Spring 2025: The course will run January 21 – May 4, 2025

The certification obtained at the completion of the final exam distinguishes individuals with intermediate to advanced proficiency and a commitment to advancing securities compliance practices. The focus of the course will be on Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) regulated financial services firms with a particular emphasis on Investment Advisers and Broker Dealers.

CSCP Program Highlights:

  • 14-week course delivered online

  • Instructors are leading financial services industry professionals

  • CSCP examination offered for BD, IA or Dual Registrants

  • Discounted NSCP membership (NSCP Membership for CSCP Students: $150 for 1 year)

  • Three graduate-level academic credits are awarded by the University of St. Thomas with successful completion of the course, which can be applied to the online MSL degree program in Organizational Ethics & Compliance

  • Cost: $3,000.00 (includes the CSCP certification exam fee)

  • Apply now for Spring 2025: The course will run January 21 – May 4, 2025

Areas Of Compliance Covered:

  • Compliance program management including risk assessment and risk management

  • Developing, monitoring and testing policies and procedures

  • Ethics and Conflicts of Interest

  • Client Communications and Client Protection

  • Regulatory Risk Management

  • Regulatory Filings

  • Books and Records

CSCP Program Registration Qualifications:

  • Bachelor’s Degree from an accredited college/university required

CSCP Course Information / University of St. Thomas (UST)

  • The CSCP course has 14 weekly modules, but the structure of the course will be 12 weeks of content, 1 week of review and 1 week for the CSCP examination.

  • The CSCP examination at the completion of this course will be the only and final grade given. Students have the option to select one of the three exams (BD only, IA only, or joint BD/IA).

  • There are weekly readings with assignments and quizzes throughout the course.

  • All tasks in the course are intended to provide feedback from your instructor to further your comprehension and mastery of the content in preparation for the examination; the assignments and quizzes receive feedback, not grades.

  • The content for this course is entirely on-line and asynchronous.

  • The modules are released the week prior to the module start date and remain open through the end of the exam. You will be able to access the video lectures and the assignments at your convenience.

  • The course uses Canvas, which provides a single portal to access course materials, lectures, assignments, and additional information. An orientation course is available and recommended to provide more information about Canvas.

  • More detailed information can be found in the course syllabus (UST).

For more information, please contact:
Suzan McGinnis
Director, Organizational Ethics & Compliance Programs
University of St. Thomas
suzan.mcginnis@stthomas.edu

NSCP Membership / Recertification & Continuing Education / Fees

  • Although NSCP membership is not required, we encourage new graduates to take advantage of our student membership rate of $150 (discounted from the standard $500) for the first year after graduation.

    NSCP membership offers a wide range of compliance resources, continuing education, and regulatory advocacy. NSCP provides members with essential information on compliance topics, regulatory insights, and useful tools, including its premier compliance publication, online and in-person events, interactive online forums and working groups, and comprehensive resource library. NSCP members have access to a diverse community of compliance professionals who willingly share their knowledge and expertise.

    Please contact Plamen Petkov at plamen@nscp.org if you would like additional information about student membership.

  • NSCP does not have a recertification program in place at this time and does not require designees to track or report continuing education credits.

    NSCP will communicate any updates or changes to all CSCP designees as appropriate.

  • There are no NSCP fees associated with maintaining your CSCP designation at this time.

    NSCP will communicate any updates or changes to all CSCP designees as appropriate.

  • You may start using the designation in your signatures immediately if you wish.

    Below is an example of the correct usage (using BD, IA, or BD/IA as appropriate).

    Jane Doe, CSCP-BD®
    Compliance Analyst, ABC Company

If you have additional questions about NSCP membership, recertification & continuing education, or fees, please email:

NSCP – Certifications

certifications@nscp.org

 About NSCP

The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry.

NSCP is for compliance, by compliance. NSCP membership provides the financial services professional from the U.S. and Canada with a wide range of resources including a vast network of compliance peers, continuing education to further their knowledge and specialized skills, and regulatory involvement through representation of compliance interests.

NSCP Membership for CSCP Students: $150 for 1 year*

*Evidence of enrollment must be provided while applying for student membership.