Program Learning Outcomes

This Seneca program has been validated by the Credential Validation Service as an Ontario College Credential as required by the Ministry of Training, Colleges and Universities.

As a graduate, you will be prepared to reliably demonstrate the ability to:

  • 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.