What is the Certificate in Investment Dealer Compliance?
The Certificate in Investment Dealer Compliance is the only program of its kind in Canada tailored to provide specialized knowledge of compliance issues, actions, and impacts to business units within securities firms. This industry-recognized program applies to both retail and institutional dealer settings.
What skills will you develop?
- Gain dealer compliance skills applicable to both retail and institutional settings
- Demonstrate the ability to apply compliance knowledge gained through courses within the Certificate in Investment Dealer Compliance
- Have increased mobility within any securities firm
- Gain increased compliance knowledge to maintain competitive edge
- Gain a recognized and transferable credential
What is the path to the Certificate in Investment Dealer Compliance?
Option 1
Option 2
Who should enrol?
The Certificate in Investment Dealer Compliance is designed for individuals who want to pursue or advance their compliance career within an investment dealer firm. These include front or back-office staff who wish to move into a compliance position, compliance analysts, risk managers, retail account supervisors, trade desk supervisors, branch managers, or compliance officers working within the retail branch of a securities firm or a head-office compliance department at a securities firm.