About NSCP

Since 1986, the National Society of Compliance Professionals has been the leading non-profit, membership organization dedicated to supporting compliance professionals in the financial services industry, focusing primarily on investment advisers, broker-dealers, and private funds. NSCP membership offers a wide range of compliance resources, educational opportunities, and regulatory advocacy and engagement. NSCP provides its members with essential information on compliance topics, regulatory insights, and useful tools through its monthly publication, online and in-person events, and within an interactive online community.  NSCP members have access to a diverse community of compliance professionals who share their knowledge and expertise.

Our Mission

MISSION
To educate, connect, and empower a community of diverse financial services compliance professionals.

VISION
To be the voice of and leading resource for financial services compliance professionals

VALUES STATEMENT
NSCP is dedicated to:

  • Education: providing fundamental knowledge, thought leadership, and practical resources for compliance professionals at all levels.

  • Advocacy: promoting and advancing the interests and concerns of compliance professionals with regulatory authorities.

  • Community: building and maintaining a diverse, equitable, and inclusive network of compliance professionals.

  • Engagement: fostering participation and collaboration by providing opportunities for exchanging industry knowledge and best practices.

NSCP History

The year 1986 was headlined by Insider Trading, Ivan F. Boesky, the Savings and Loan Crisis, Defense Department procurement scandal, and the advent of the creation of managerial positions designated to oversee ethical business practices, now called compliance and ethics officers. During that same time, Joan Hinchman was quietly assisting Jackie Hallihan to form the National Society of Compliance Professionals (NSCP). Begun in 1986 and incorporated in spring of 1987 as a Connecticut 501(c)-6 not-for-profit organization, NSCP was formed to support and promote the growing securities industry compliance profession.

Housed and financially supported by Jackie Hallihan and National Regulatory Services (NRS) with just Joan Hinchman and one part-time administrative assistant, NSCP grew to 200 members in its first three months and offered a newsletter and consultation services. There was no on-line Federal Register and NSCP staff had to leaf through multiple documents every few days to find important information for its members. NSCP held its first member meeting in the spring of 1989 in Washington, D.C. NSCP eventually separated from NRS and in 1990 moved into its own office space in rural Connecticut.

Over thirty years since its inception, NSCP has grown to 2000+ members with a plethora of educational offerings and networking opportunities for its members. The success of NSCP is owed to the many compliance professionals in our industry who freely volunteer their time and expertise to participate as NSCP board and committee members, speak at virtual and in-person conferences, write articles for NSCP’s preeminent journal, NSCP Currents, and offer their knowledge and expertise to others.

We invite you to come experience what others have experienced since 1986, a network of compliance professionals assisting one another in a constantly changing and challenging regulatory environment.