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Graduate Certificate in Financial Regulatory Compliance
Drexel University Kline School of Law’s Graduate Certificate in Financial Regulatory Compliance focuses on financial regulatory structure and the industry’s extensive compliance requirements. It is designed for those who seek careers managing mutual funds, hedge funds, and other investments.
Courses cover auditing, investigating, reporting, and risk assessment, as well as regulations for investment advisors and companies, preparing you for in-demand compliance positions at both large and small financial institutions.
Drexel also offers a Master of Legal Studies with a concentration in Financial Regulatory Compliance.
Program Features
- Available entirely online, with courses taught by award-winning professors from Drexel University's Thomas R. Kline School of Law
- Coursework malleable to your professional goals
- Special tuition plans for employees and members of partner organizations
- Utilize the Kline Graduate Programs Virtual Career Office which is dedicated to helping you reach your career goals via access to job postings, a virtual career classroom, and one-on-one coaching with faculty and alumni
Upcoming Webinar
- Online Open House: MLS and Legal Studies Certificates
Thursday, October 21st | 12-1 PM ET
Archived Webinar
State restrictions may apply to some programs.
Curriculum
| Required Courses | ||
| LSTU 501S | Compliance Skills: Auditing, Investigation, and Reporting | 3.0 |
| LSTU 507S | Risk Assessment and Management | 3.0 |
| LAW 700S | Business Organizations | 3.0 |
| Choose three of the following courses: | 9.0 | |
| LAW 734S | Legal Regulation of Investment Advisers | |
| LAW 735S | Legal Regulation of Investment Companies | |
| LAW 736S | Broker/Dealer Regulation | |
| LAW 737S | Banking Law | |
| Total Credits | 18.0 | |
Admissions Criteria
- A bachelor's degree from a regionally accredited institution
Required Documents
With multiple ways to submit documents, Drexel makes it easy to complete your application. Learn more by visiting our Completing Your Application Guide.
- A completed application
- Official transcripts from all universities or colleges and other post-secondary educational institutions (including trade schools) attended
- Resume
- Additional requirements for International Students
Tuition
The tuition rate for the academic year 2021-2022 is $1275 per credit.
- This program is not eligible for Financial Aid.
- Special tuition rates available for Drexel University Alumni, Military members, and members of our Partner Organizations.
- Spring 2020 new partners, alumni, or military students only: A special 20% tuition savings for students that enroll in two classes during their first term of enrollment and stay enrolled in two classes per term throughout the length of the program (otherwise standard tuition savings applies). Must maintain continuous enrollment in the program during the Fall and Spring semesters. Students will initially see a 10-15% tuition savings on their bill. An additional savings to bring the total to 20% will be credited after the close of the add/drop period at the beginning of the semester.
- These rates apply only to new online students and students being readmitted.
- These rates apply only to fully online courses. Hybrid or on-campus courses may have different rates.
- Tuition rates are subject to increase with the start of each academic year in the fall term.
- All students must contact applyDUonline@drexel.edu within the first two weeks of the term to request tuition savings for which they qualify.
- Special rates cannot be combined. If you qualify for more than one special rate, you'll be given the one with the largest savings.
- When receiving special tuition plans with Drexel University Online, you may not combine them with other tuition benefits that may be available from Drexel University.
- Spring 2020 new partners, alumni, or military students only: A special 20% tuition savings for students that enroll in two classes during their first term of enrollment and stay enrolled in two classes per term throughout the length of the program (otherwise standard tuition savings applies). Must maintain continuous enrollment in the program during the Fall and Spring semesters. Students will initially see a 10-15% tuition savings on their bill. An additional savings to bring the total to 20% will be credited after the close of the add/drop period at the beginning of the semester.
Academic Calendar
2021-2022 Academic Year
Term
Classes Begin
Classes End
Fall 2021
August 23, 2021
December 17, 2021
Spring 2022
January 10, 2022
May 6, 2022
Summer 2022
May 23, 2022
August 7, 2022
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