Compliance professionals holding the CSCP credential demonstrate expertise in areas such as:

• Developing compliance programs to ensure adherence to internal company policies, procedures, processes and external laws, rules, and regulations;
• Confirming that activity in client portfolios is consistent with client investment guidelines and client- directed trade allocations;
• Monitoring personal trading activities for evidence of market timing, insider trading or appearance of conflict;
• Educating departments across the company to assist them in their understanding of regulatory and legal obligations;
• Preparing and filing required regulatory reports outlining actions taken in resolution of customer complaints;
• Monitoring firm’s maintenance of client records to ensure they are secure from unauthorized alteration or use; and
• Developing and maintaining the firm’s policies and procedures, including Anti-Money Laundering procedures.

Benefits for Compliance Practitioners

• Boosts career potential by demonstrating expertise in the complex and critical issues of securities compliance;
• Recognizes individuals’ knowledge of, expertise in, and dedication to securities compliance; and
• Encourages annual training and continuing education necessary for certification maintenance.

Benefits for Consultants and Vendors

• Credentialed practitioners help to ensure success in winning business against competitors without certification;
• Provides prospective and current clients with objective reassurance that your team is a leader in the field of securities compliance.

Benefits for Employers / Clients

• Helps to ensure that federal requirements and industry standards for securities compliance will be met and maintained, thereby increasing investor confidence and reducing employer liability;
• CSCP certification ensures a commitment to ongoing training and education. Candidates must maintain the credential by meeting continuing education requirements.