<iframe src="//www.googletagmanager.com/ns.html?id=GTM-MVGWBW" height="0" width="0" style="display:none;visibility:hidden"></iframe> Financial Regulatory Compliance Certificate | Drexel Online

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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
    • Beginning in the Fall of 2022, the Kline School of Law’s fully online degree and certificate programs will be offered on the 10-week Quarter system and will no longer be offered on the 14-week Semester system. Students who start before Fall 2022 will transfer their credits to the quarter program. For questions, please contact lawadmissions@drexel.edu.

    Archived Webinar


    State restrictions may apply to some programs.

    Curriculum

    Beginning in the Fall of 2022, the Kline School of Law’s fully online degree and certificate programs will be offered on the 10-week Quarter system and will no longer be offered on the 14-week Semester system. Students who start before Fall 2022 will transfer their credits to the quarter program. For questions, please contact lawadmissions@drexel.edu.

    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

    View Course Descriptions

    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 AlumniMilitary 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.

     

    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

     
    Beginning in the Fall of 2022, the Kline School of Law’s fully online degree and certificate programs will be offered on the 10-week Quarter system and will no longer be offered on the 14-week Semester system. Students who start before Fall 2022 will transfer their credits to the quarter program. For questions, please contact lawadmissions@drexel.edu.

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