The financial industry is constantly evolving, and the need for qualified compliance professionals has never been greater. As compliance professionals strive to stay up to date and in the know with all facets of regulatory compliance requirements and protocols, they are faced with a proverbial mountain of information, data and knowledge to interpret, master and, finally, incorporate into their compliance programs.
One of the best tools in a compliance professionals toolkit? Advanced industry education.
The National Regulatory Services (NRS®) Investment Adviser Certified Compliance Professional (IACCP®) Program is a rigorous and comprehensive educational program that provides compliance professionals with the expertise they need to effectively manage compliance risks and protect their firms. Let’s dive in!
What is the IACCP® Program?
The IACCP® Program is designed for compliance professionals who want to certify their knowledge of investment advisory regulatory obligations and gain additional competency in trading, regulatory mandates and other current regulatory priorities. The program is co-sponsored by the Investment Adviser Association (IAA), a leading organization for investment advisers and is recognized as the premier credential for compliance professionals in the financial industry.
There are many benefits to earning your IACCP® designation, including:
- Industry-wide recognition of your enhanced knowledge, skill level and competency requirements
- The flexibility to achieve your education requirements, even if you have a busy schedule
- An additional layer of risk management for your firm
- Increased credibility with your colleagues, clients and regulators
- Continuing education credits for attorneys, accountants/CPAs, certified financial planners and compliance professionals
How to earn your IACCP® designation
Now that you know how helpful an IACCP® designation can be for your career and, by extension, your firm, how do you earn it? To earn your IACCP® designation, you must complete the following requirements:
- Complete 17 required courses and three elective courses
- Submit an ethics assessment and an ethics statement
- Pass the IACCP® certifying examination
- Have two years of work experience in investment adviser compliance
The COMPLY® portfolio is offering several upcoming courses that can help you earn your IACCP® CE credits. These courses are taught by experienced industry professionals and will provide you with the latest information on compliance topics, and include:
- RIA Year-End Compliance Check-up on Nov. 21, 2023, from 1:00 – 3:00 p.m. Eastern
- Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act on Nov. 30, 2023, from 1:00 – 3:00 p.m. Eastern
- Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors, and Proxy Voting Requirements on Dec. 05, 2023, from 1:00 – 3:00 p.m. Eastern
Compliance Education with Confidence
At COMPLY, we understand the challenges faced by compliance professionals in the financial sector and the need for them to not just keep up but stay ahead. COMPLY offers tailored consulting, education and technology services to help you ensure your firm is in compliance today and in the future!
With your IACCP® designation, you will be well-positioned to succeed in the ever-changing financial industry, advance your career and make a significant contribution to your firm. Ready to join the growing community of IACCP® designees? Let’s talk!