Financial Services Compliance Administration

White-collar crime is increasing, particularly in the areas of identity theft, money laundering and securities fraud and therefore the need for compliance and risk management professionals is growing in the financial services industry.

In this eight-month graduate certificate program, you will gain the technical and professional skills that are necessary to become a compliance officer. This program covers Canadian regulatory requirements for the banking, insurance and securities industries. You will acquire critical skills such as policies and procedures management, privacy management, and Anti Money Laundering (AML) investigation.

As part of this program, you will be able to take a course that qualifies you for the Canadian Securities Course (CSC)® licensing examinations. As a student, you will register with the Canadian Securities Institute (CSI)® at an additional cost.

What You’ll Learn

• Display a knowledge of the Canadian legal and regulatory system (and to some extent, international systems).
• Demonstrate knowledge of the financial services industry.
• Understand and apply the principles of ethics and rules of market conduct which govern the industry.
• Apply the basic skills used in the areas of investigative research principles and techniques.
• Communicate clearly and expressively, in both written and oral forms.
• Understand the workings of a financial institution and the role that the regulatory compliance department plays within it.
• Develop strategies for ongoing professional development to enhance competence.
• Collaborate with colleagues to enhance professional working relationships.