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Investment Dealer Compliance Course (IDCC)

 

Set yourself apart when entering into or advancing your compliance career

The financial services industry has undergone major regulatory changes to ensure transparency and clarity for investors. In addition there is increased market volatility, periodic scandals and an aging demographic with a protective eye on its retirement assets. In this environment, there is greater scrutiny from clients, regulators and employers, making the role of individuals with compliance expertise increasingly valuable.

The Investment Dealer Compliance Course is the only course of its kind in Canada. It focuses on various scenarios and addressing the complex issues currently faced by compliance officers. It gives individuals a solid foundation in structures, processes, risk management, investigations and procedures common in the compliance and regulatory realm.

Become a Compliance Officer

  • With clients and regulators placing financial advisors and dealers under more careful scrutiny, the demand for compliance specialists continues to grow.

Earn CE Credits

  • Fulfills 12 hrs of CE Compliance

Improve your Expertise

  • Provides solid background knowledge required for a  career in compliance

Who Should Enrol

Enrol in the IDCC if you:

  • Work in the area of compliance and want to progress your career
  • Are seeking a role as a compliance officer
  • Are working to complete the Certificate in Dealer Compliance*

Course leads to the following credentials:

CIDC Pathways

Learning Pathway

CIDC Pathways

*While partly based on licensing courses, the IDCC is not a licensing course.
**If you’ve completed one of the licensing courses (BMC or CCO) or your planning on having to enroll in one of them in the near future, Route 2 is the appropriate path for you.