Financial Services Compliance

Division of Online Learning

The Graduate Certificate in Financial Services Compliance is designed for professionals working in a variety of financial institutions or at consulting, auditing and law firms serving those institutions. Our financial law courses provide an intensive exposure to the legal and regulatory framework shaping the financial services industry today.

A Certificate in Financial Services Compliance can be completed in 24 weeks and will be awarded upon completion of three courses. At least one of the three courses must be Governance, Compliance, Enforcement and Risk Management, or Securities Regulation and Compliance. Note*-Securities Regulation and Compliance is a prerequisite to Regulating Broker-Dealers and Regulating Funds and Investment Advisors.

Each course takes eight weeks to complete, and you may take them in any order you choose. Courses offered are:

Number Name Credit Offering


Advanced Topics in Risk Management

This course explores the theory of risk management and federal and state regulatory efforts to impose risk management obligations on corporations through corporate governance. Topics covered include:

  1. Corporate governance

  2. Relationships and conflicts of interest among the board of directors, senior management, rank-in-file employees and regulators

  3. Effectiveness and execution of risk management roles and responsibilities




Cybersecurity & Privacy: Law, Policy, Compliance

This course examines the legal, policy, and compliance challenges raised by efforts to protect the Internet and other forms of networked computer systems from attack by hackers, organized criminal groups, terrorists, and others. Topics include:

  1. Threats to cybersecurity

  2. Domestic and international Internet governance

  3. The Computer Fraud and Abuse Act

  4. U.S. and European Union privacy law and personal data protection

  5. War, international terrorism, and U.S. surveillance law

  6. Private information infrastructure and the law of emergencies

  7. Emerging compliance frameworks for cybersecurity




Financial Crimes Compliance




Governance, Compliance, Enforcement and Risk Management

This course explores corporate governance metrics for complying with federal and state regulatory frameworks, including internal corporate compliance protocols used to fulfill the company’s mission and to minimize risk in the management of the corporation. Topics covered include:

  1. Corporate governance internal protocols

  2. Relationship dynamics between corporate fiduciaries and stakeholders

  3. Development of compliance and risk management policies and procedures

  4. Governmental regulatory compliance frameworks

  5. Attorney’s role in compliance programs




Introduction to Corporate Finance

This corporate finance course explores the key financial instruments used by corporations, and the legal rules that govern those instruments. Topics covered include:

  1. Capital structure

  2. Financial instruments

  3. Mergers & Acquisitions

  4. Financial Distress




Regulating Broker-Dealers

This course explores the roles and duties of brokers and dealers, the legal rules that govern these investment professionals, and the regulatory authorities that create and enforce these rules.  Topics covered include a general overview of the financial markets regulatory framework; the economic realities that create legal obligations under federal securities regulations and self-regulatory organizations' rules; supervision of broker-dealer financial distress, including protection of customer funds and liability for customer losses.




Regulating Depository Banks

This course introduces students to the primarily laws and regulations governing banks whose primary function is to accept cash deposits.  Topics covered include the regulation of bank formation, bank deposit regulation, capital regulation, the Consumer Financial Protection Bureau, holding companies and SIFIs, bank governance and supervision, and special areas of regulatory concern.




Regulating Funds and Investment Advisors

This course examines mutual funds (investment companies) and other related entities like hedge funds and private equity funds. Topics covered include:

  1. Investment Company Act of 1940

  2. Investment Advisers Act Of 1940

  3. Regulation of swaps and other derivatives under Dodd-Frank

  4. Role of the CFTC in regulating this market

  5. Relationship between funds and their broker-dealers




Regulating Insurance Companies

This course examines federal and state regulation of insurance companies. Topics covered include:

  1. Federal and State Relationship

  2. State Insurance Boards, Commissioners, and Similar Authorities

  3. Regulation of form and content of policies; kinds of insurance

  4. Intermediaries-brokers, broker dealers, producers, compensation, licensing

  5. Rate regulation

  6. Solvency regulation

  7. ERISA and group insurance regulation

  8. Regulation of reinsurance




Securities Regulation and Compliance

This course focuses on mandatory affirmative disclosure requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934, triggered by the public offering of securities and by their trading in public markets. Topics covered include:

  1. Federal regulation of the offer and sale of securities under the Securities Act of 1933

  2. Exemptions from federal registration

  3. Reporting obligations of public companies under the Securities Exchange Act of 1934

  4. Sanctions and civil damage liability for violating these requirements




A Financial Service Compliance certificate will be awarded upon completion of three courses. You must choose one of the following: Governance, Compliance, Enforcement and Risk Management or Securities Regulation and Compliance. The two remaining courses may be any other Financial Services Law course listed above.

Materials for online financial services compliance courses are drawn from statutory and regulatory texts, judicial decisions, and expert commentary. Through a series of multimedia presentations, guided discussions, and individually supervised writing projects, students learn to interpret legal documents and assess their business implications.

All of our Graduate Certificate courses within the financial services law program offer intensive, individualized feedback, as well as an opportunity to develop the practical skills necessary to research and communicate effectively about the law.

All nine credits earned in the online graduate certificate program can be applied towards the Master of Science in Jurisprudence degree.

We offer our graduate financial services compliance certificate programs during our spring, summer and fall semesters. New course sessions begin five times per year.

To apply for Seton Hall Law’s certificate program in Financial Services law, please submit the following:

  1. Online application
  2. Official baccalaureate degree transcript from an accredited college or university
  3. Current resume

*No entrance exam is required for admission.

Learn more about our programs.

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