Summary

    After analyzing data from passing candidates who took Version 1 of the CSCP exam, the profile of a typical CSCP candidate proves to be diverse in nature. Given the small size of empirical data, the following will only categorize the leading percentile groups captured thus far.

Survey

  • Which of the following most accurately describes the firm for which you work?

Broker-Dealer / Investment Adviser ~ 30%
Broker-Dealer ~ 26%
Insurance Company w/ Investment Adviser ~ 13%
Investment Adviser/ Investment Company ~ 13%

  • Which of the following licenses / designations do you currently hold?

Series 24 ~ 28%
Series 7 ~ 27%
Series 65 or 66 ~ 19%

  • What is the total number of years that you have worked in the financial services industry?

16 years or more ~ 65%
11-15 years ~ 17%
6-10 years ~ 17%

  • What is the total number of years that you have worked in the field of compliance?

16 or more years ~ 35%
11-15 years ~ 26%
2-5 years ~ 22%
6-10 years ~ 17%

  • What is the total number of years that you have worked for a regulatory or enforcement body?

Not Applicable ~ 74%
2-5 years ~ 17%

  • Which of the following describes your current position?

Chief Compliance Officer ~ 61%
Compliance Analyst ~ 13%

  • To whom do you currently report ?

Compliance Director ~ 39%
Chief Executive Officer ~ 30%
Chief Compliance Officer ~ 13%

    • Who is covering the cost of this examination?

Employer ~ 52%
Examinee ~ 26%