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.
Learn more about the program by completing the Request More Information form.
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State restrictions may apply to some programs.
This program is organized into four 10-week quarters per year (as opposed to the traditional two semester system) which means you can take more courses in a shorter time period. One semester credit is equivalent to 1.5 quarter credits.
Required Courses | ||
LSTU 551 | Compliance Skills: Auditing, Investigation & Reporting | 4.0 |
LSTU 554 | Risk Assessment and Management | 4.0 |
Choose three: | 12.0 | |
LSTU 649
|
Foundations of Financial Regulation | |
LSTU 650
|
Legal Regulation of Global Financial Crimes | |
LSTU 651
|
Legal Regulation of Investment Advisers | |
LSTU 652
|
Legal Regulation of Investment Companies | |
LSTU 653
|
Broker/Dealer Regulation | |
LSTU 654
|
Banking Law | |
Total Credits | 20.0 |
With multiple ways to submit documents, Drexel makes it easy to complete your application. Learn more by visiting our Completing Your Application Guide.
For the academic year 2025-2026, students enrolled in an online graduate academic program will be charged a graduate online program fee of $125 per year.
2025-2026 Academic Year
Term
Classes Begin
Classes End
Exams Begin
Exams End
Fall 2025
September 22, 2025
December 6, 2025
December 8, 2025
December 13, 2025
Winter 2026
January 5, 2026
March 14, 2026
March 16, 2026
March 21, 2026
Spring 2026
March 30, 2026
June 6, 2026
June 8, 2026
June 13, 2026
Summer 2026
June 22, 2026
August 29, 2026
August 31, 2026
September 5, 2026