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Financial Services Compliance Administration

Financial Services Compliance Administration

Program Code:FCA
Campus:Newnham
Duration:2 Semesters (8 Months)
Offered:Fall
Credential Awarded:Ontario College Graduate Certificate

Program Description

If topics such as law, politics, international relations and global finance interest 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 Canadian Securities Institute (CSI) at an additional cost.

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. You are required to complete a compliance administration field placement or industry project with a financial services institution as part of the 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.

Admission Requirements

Program Eligibility:

  • A recognized degree or postsecondary diploma from an accredited institution; OR
  • Mature applicants with 3 to 5 years of documented work experience in a related field may be considered. Relevant résumé and references must be provided.
  • English proficiency at the postsecondary level.

Note:

  • Although not required for admission, the following is recommended for your success in the program:
    • a facility for mathematics and financial concepts.
    • Superior communication and analytical skills. Prospective students may be required to undergo testing to assess literacy skills.

Fees

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Your Career

White-collar crime is increasing, particularly in the areas of 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 postsecondary programs. You could soon find yourself with a rewarding career in the banking, insurance and securities sectors.

Transfer Credit/Pathways

The Degree and Credit Transfer Office provides a number of services for students continuing their education at Seneca, and for graduating students considering degree transfer options.

Through transfer agreements and institution partnerships, graduates of this Seneca College program may be eligible for credit at various post-secondary institutions. Please refer to the Degree Transfer Guide for more information.

Transfer Credit may be granted for courses deemed equivalent to courses at Seneca that have been completed at recognized postsecondary institutions. Additional information is available online.

Important Academic Dates

Please take a few moments to view Important Academic Dates for your relevant term.

Courses

Please select the curriculum from the Academic Year in which you started (or will be starting) your studies. An Academic Year begins in September and ends in August of the following year.

2016/2017 Academic Year

Semester 1
FCA012 Anti-Money Laundering Administration
FCA111 Law and Governance
FCA120 Financial Services Product Knowledge
FCA125 Understanding Investments and Investment Strategies
FCA151 Project Management and Policies and Procedures
 
Semester 2
FCA202 Privacy Management and Identity Theft
FCA210 Risk Management and Market Conduct
FCA221 Compliance Communication and Complaints Management
FCA225 Investment Strategies and Tactics
FCA231 Ethics/Professional Conduct and Liability
FCA295 Regulatory Compliance Administration
FPL290 Field Placement

2015/2016 Academic Year

Semester 1
FCA012 Anti-Money Laundering Administration
FCA111 Law and Governance
FCA120 Financial Services Product Knowledge
FCA125 Understanding Investments and Investment Strategies
FCA151 Project Management and Policies and Procedures
 
Semester 2
FCA202 Privacy Management and Identity Theft
FCA210 Risk Management and Market Conduct
FCA221 Compliance Communication and Complaints Management
FCA225 Investment Strategies and Tactics
FCA231 Ethics/Professional Conduct and Liability
FCA295 Regulatory Compliance Administration
FPL290 Field Placement

Contact Us

Admissions Advisors:
Domestic Admissions Advisor: Judy Chung
(416) 491-5050 Ext. 22127
Judy.Chung@senecacollege.ca
International Admissions Advisor: Ida Yee
(416) 491-5050 Ext. 22405
Ida.Yee@senecacollege.ca
Registration & Records Advisor:
  Laurie Johnson
(416) 491-5050 Ext. 22449
Laurie.Johnson@senecacollege.ca
Program Contacts:
Student Advisor: Liam McElheron
(416) 491-5050 Ext. 26216
William.McElheron@senecacollege.ca
Program Coordinator: Samky Mak
(416) 491-5050 Ext. 26872
Samky.Mak@senecacollege.ca
Program Chair: Karen Murkar
(416) 491-5050 Ext. 22337
Karen.Murkar@senecacollege.ca
Additional Contacts:
  Financial Aid & Awards
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