Financial Services Compliance Administration
|Duration:||2 Semesters (8 Months)|
|Start Dates:||Fall, |
Start dates are subject to change
|Credential Awarded:||Ontario College Graduate Certificate|
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.
- 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.
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.
Through transfer agreements and institution partnerships, graduates of this Seneca College program may be eligible for credit at the following post-secondary institution(s):
|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|
|2015/2016 Academic Year|
|Anti-Money Laundering Administration|
|Law and Governance|
|Financial Services Product Knowledge|
|Understanding Investments and Investment Strategies|
|Project Management and Policies and Procedures|
|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|
|Domestic Admissions Advisor:||Judy Chung
Telephone: (416) 491-5050 Ext. 22127
|International Admissions Advisor:||Susan Gao
Telephone: (416) 491-5050 Ext. 22365
|Registration & Records Advisor:|
Telephone: (416) 491-5050 Ext. 22449
|Student Advisor:||Lisa Ballantyne
Telephone: (416) 491-5050 Ext. 26216
|Program Coordinator:||Samky Mak
Telephone: (416) 491-5050 Ext. 26872
|Program Chair:||Karen Murkar
Telephone: (416) 491-5050 Ext. 22337