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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.
REQUEST MORE INFORMATION
Learn more about the program by completing the Request More Information form.
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Archived Webinar
State restrictions may apply to some programs.
Curriculum
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.
Beginning in the Fall of 2022, the Kline School of Law’s fully online degree and certificate programs 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 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 | |
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 2025-2026 is $975 per credit.
The Thomas R. Kline School of Law online graduate programs have recently switched to a quarter calendar schedule. The tuition rate reflected above is now per quarter credit.
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.
- This program is not eligible for Financial Aid.
- Special tuition rates available for Drexel University Alumni, Military members, and members of our Partner Organizations.
- 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
2023-2024 Academic Year
Term
Classes Begin
Classes End
Exams Begin
Exams End
Fall 2023
September 26, 2023
December 9, 2023
December 11, 2023
December 16, 2023
Winter 2024
January 8, 2024
March 16, 2024
March 18, 2024
March 23, 2024
Spring 2024
April 1, 2024
June 8, 2024
June 10, 2024
June 15, 2024
Summer 2024
June 24, 2024
August 31, 2024
September 3, 2024
September 7, 2024
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