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Certificate in Investment Dealer Compliance

Credential Affirms Importance of Compliance Careers

TheCertificate in Investment Dealer Compliance gives compliance professionals the opportunity to be widely recognized as specialists. The only program of its kind in Canada, it is the first to distinguish that compliance professionals must be adept at understanding not only the intricacies of compliance issues and the actions that need to be taken, but also how they impact business units within a securities firm.

The path to the Certificate in Investment Dealer Compliance is specifically designed to give professionals advanced compliance knowledge and skills and the opportunity to showcase the application of their skills and abilities in both retail and institutional investment dealer settings.

NOTICE – 5 YEAR RULE: The educational path must be completed not more than 5 years prior to being granted the certificate. If an individual has exceeded the 5 year time line, completion of the highest level requirement in the educational path (or equivalent) will be required prior to being granted the certificate.

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.

This certificate will allow you to:

  • Gain a recognized and transferable credential
  • Fulfill IIROC CE Compliance  credits
  • Meet IIROC proficiency requirements (CSC, CPH, BMC and CCO)
  • 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