Financial Services Compliance Administration

Program Description

If topics such as law, politics, international relations and global finance have interested you, and you're looking for a challenging and rewarding career with one of Canada's financial services institutions or with a government regulatory agency, consider the graduate certificate program in Financial Services Compliance Administration.

Compliance administration is a fast growing field in the financial services industry. Monitoring the activities of securities and mutual fund dealers to ensure that they are working in the best interests of their clients is now recognized as a core requirement for all financial institutions. The development and administration of risk management programs that ensure financial institutions are in compliance with government anti-money laundering and terrorist-financing regulatory programs is becoming increasingly important in the emerging marketplace of global financial transactions. Compliance is the critical first step in fraud prevention.

In this program, you will take courses that will enable you to qualify for the Canadian Securities Course (CSC) licensing examinations. As a student, you will register with the CSI at an additional cost.

Admission Requirements

Program Eligibility:

• A degree or diploma from a recognized college/ university or mature student with 3 to 5 years of documented work experience in a related field including references for relevant work experience.
• English proficiency at the college level.

Applicant Selection:

• Students are required to be highly literate and have a facility for mathematics and financial concepts. Superior communication and analytical skills are also necessary. Prospective students may be required to undergo testing to assess literacy skills.

The Importance of Learning Skills:

Student success in college requires well developed learning skills (such as being able to work independently, participate in a team, be well-organized, develop good work habits, and show initiative). These skills are as important as prior academic achievement. While it is expected that applicants would have developed these skills through previous education and life experiences, Seneca offers support to assist students with further development of these important skills.

Your Career

The International Monetary Fund (IMF) estimates the total amount of funds laundered is in the range of $900 billion to $2.25 trillion (Source: October 2008, Royal Canadian Mounted Police, Money Laundering). White collar crime is increasing and with the increase in identity theft, money laundering and securities fraud, the need for compliance and risk management professionals is growing. Specialize in Financial Services Compliance Administration with this eight-month intensive program for professionals and graduates of related post-secondary programs. Focus your skills and enhance your career opportunities in risk management and regulatory compliance. You could soon find yourself with a rewarding career in the banking, insurance and securities sectors.

Field Placement/Industry Project

The Financial Services Compliance Administration program does more than just equip graduates with the tools of the trade. It provides you with the opportunity to gain important Canadian job experience. All students are required to complete a compliance administration field placement or industry project with a financial services institution as part of their program requirements. A field placement co-ordinator will work with you to match you with placement and/or project opportunities within a variety of institutions. Upon completion of the program, you will have begun the important first step in the networking process that is critical to finding the position to launch a career as a financial services compliance administrator.

Diploma to Degree... and Beyond

Through transfer agreements and institution partnerships, graduates of this Seneca College program may be eligible for credit at the following post-secondary institution(s):

U.S.

Curriculum

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