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Graduate Certificate in Financial Regulatory Compliance
Drexel’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
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
The priority deadline for Fall 2019 is July 22nd. We will accept applications until August 1st if space is available; however, all supporting documents must be received along with the application. Please note, orientation may be truncated and course selection may be restricted if classes have reached enrollment limits. For term dates, please view the Kline School of Law academic calendar.
Tuition
The tuition rate for the academic year 2019-2020 is $1234 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.
- Summer 2019, Fall 2019, and 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.
- 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.
- Summer 2019, Fall 2019, and 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
2019-2020 Academic Year
Term
Classes Begin
Classes End
Fall 2019
August 19, 2019
December 13, 2019
Spring 2020
January 6, 2020
May 6, 2020
Summer 2020
May 26, 2020
August 4, 2020
Apply today for the Graduate Certificate in Financial Regulatory Compliance
Apply now to begin your application for obtaining a Drexel degree online!
Previously enrolled at Drexel? Learn more about readmission.
Any problems? Find help or contact us.
