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Wealth Management Compliance Professionals

Unions and Associations

Wealth management compliance professionals do not belong to unions. There are three main professional organizations for those work in compliance: the Regulatory Compliance Association (RCA), Society of Corporate Compliance and Ethics (SCCE), and the International Compliance Association (ICA). The RCA provides the chartered regulatory counsel credential and continuing education (CE) opportunities. The SCCE offers professional development opportunities, provides membership for students and practicing compliance professionals, publishes Compliance & Ethics Professional and Corporate Compliance Weekly News, and provides various compliance certifications. The ICA offers membership and a variety of certificate and diploma programs. Additionally, the Securities Industry and Financial Markets Association—which represents the interests of securities firms, banks, and asset managers—has a Compliance and Legal Society for individual members. The American Bankers Association’s Center for Regulatory Compliance offers CE classes and webinars, and publishes Bank Compliance.

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