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Financial Services Compliance Administration

Financial Services Compliance Administration

Program Code:FCA
Duration:2 Semesters (8 Months)
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.


  • 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.


Loading Tuition Costs

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 Pathways

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


University/CollegeDegrees Available
Davenport University• Any relevant Bachelor or Master of Business Administration

Important Academic Dates

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


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.

2014/2015 Academic Year
Semester 1 Course Name Hrs/Wk
FCA102 Anti-Money Laundering Administration 3
FCA111 Law and Governance 3
FCA120 Financial Services Product Knowledge 3
FCA125 Understanding Investments and Investment Strategies 4
FCA151 Project Management and Policies and Procedures 3
Semester 2 Course Name Hrs/Wk
FCA202 Privacy Management and Identity Theft 3
FCA210 Risk Management and Market Conduct 3
FCA221 Compliance Communication and Complaints Management 3
FCA225 Investment Strategies and Tactics 4
FCA295 Regulatory Compliance Administration 3
FCA231 Ethics/Professional Conduct and Liability 3
FPL290 Field Placement

2015/2016 Academic Year
Semester 1
Anti-Money Laundering Administration
Law and Governance
Financial Services Product Knowledge
Understanding Investments and Investment Strategies
Project Management and Policies and Procedures
Semester 2
Privacy Management and Identity Theft
Risk Management and Market Conduct
Compliance Communication and Complaints Management
Investment Strategies and Tactics
Ethics/Professional Conduct and Liability
Regulatory Compliance Administration
Field Placement

Contact Us

Admissions Advisors:
Domestic Admissions Advisor: (416) 491-5050 Ext. 22840
International Admissions Advisor: Salaha Fatima
(416) 491-5050 Ext. 22081
Registration & Records Advisor:
  Laurie Johnson
(416) 491-5050 Ext. 22449
Program Contacts:
Student Advisor: Lisa Dalla-Zuanna
(416) 491-5050 Ext. 26216
Program Coordinator: Samky Mak
(416) 491-5050 Ext. 26872
Program Chair: Karen Murkar
(416) 491-5050 Ext. 22337
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