Certification or Licensing
Several associations and a college have developed certification programs for compliance professionals. The Society of Corporate Compliance and Ethics’ Compliance Certification Board awards the certified compliance and ethics professional, the certified compliance and ethics professional fellow, and other credentials to those who pass a certification exam and meet educational and experience requirements. The Regulatory Compliance Association offers the chartered regulatory counsel and the certified compliance officer designations. The American Bankers Association provides the certified regulatory compliance manager credential to applicants who have at least three years of industry experience and meet other requirements.
The Lubin School of Business at Pace University and the Association of International Bank Auditors have partnered to offer the certified compliance and regulatory professional credential. The program includes courses in regulatory affairs, corporate governance, and compliance program development and management.
- Chief Information Officers
- Financial Quantitative Analysts
- Tax Managers
- Wealth Management Accountants
- Wealth Management Analysts
- Wealth Management Associates
- Wealth Management Investor Relations Specialists
- Wealth Management Lawyers
- Wealth Management Managing Directors
- Wealth Management Risk Managers
- Wealth Management Vice Presidents
