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Financial Services Compliance Administration

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 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.