Certificate in Corporate Compliance


The Graduate Certificate in Corporate 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 Corporate Compliance can be completed in 24 weeks and will be awarded upon completion of three courses. 

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

Number Name Credit Offering


Cybersecurity and Privacy I: Law & Policy


This course provides a broad overview of key issues at the intersection of cybersecurity and privacy. Topics covered include:

  1. Security practices, standards, and insurance

  2. Data breaches, incident response, and corporate governance considerations

  3. Consumer protection law and enforcement actions

  4. The Computer Fraud and Abuse Act (aka the “anti-hacking” statute)

  5. Law enforcement surveillance

  6. Emerging technological paradigms and legislative responses





EU Data Protection and Privacy Law: The GDPR


This course introduces students to the legal regime governing information privacy, data protection, and data security in the European Union. Topics covered include data protection and privacy in the European Court of Human Rights, the Data Protection Directive and the General Data Protection Regulation (GDPR), data protection supervisory authorities and international data transfers, the "right to be forgotten," and cybersecurity in Europe.





Financial Crimes Compliance


This course introduces students to the theory and practice related to financial crimes compliance in the United States, and at the global level. Particular laws examined include: the Money Laundering Control Act, the Bank Secrecy Act, and associated regulations.

At the international level, the course also outlines the work of the Financial Action Task Force and its recommendations on combatting money laundering and terrorism financing.





Financial Privacy Law


This course explores the federal, state and judicial scheme designed to protect the privacy and security of financial information. Topics covered include:

  1. Regulation of sharing consumer information by financial institutes under the Gramm-Leach Bliley Act.
  2. Regulation of credit reporting agencies under the Fair Credit Reporting Act (FCRA).
  3. Identity theft and businesses’ responsibilities under the Federal Trade Commission’s (FTC) Red Flag Rules.
  4. Protections of individual financial information against the government under the Fourth Amendment and the Right to Financial Privacy Act (RFPA).
  5. State financial privacy law
  6. Breach Notification and Financial Privacy





Global Corruption: Regulation, Compliance, and Enforcement


This course introduces students to the theory and practice of global anti-corruption compliance. Topics covered include the definition, identification and measurement of corruption; the OECD Convention on Combatting Bribery of Foreign Public Officials; the U.S. Foreign Corrupt Practices Act; the UK Bribery Act; anti-corruption laws in other countries; investigation, enforcement and resolution of corruption activities; jurisdiction, corporate liability and individual responsibility; and anti-corruption compliance programs and international organizational responses.





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 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. Dodd-Frank Act

  4. Sarbanes-Oxley Act

  5. Role of the CFTC in regulating this market

  6. Fiduciary Duties

  7. Relationship between funds and their broker-dealers

  8. Compliance and ethics programs

Prerequisite: Securities Regulation




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





Materials for online corporate 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 corporate 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 Legal Studies degree.

We offer our graduate corporate 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 corporate compliance, 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.


Division of Online Learning

[email protected] | 973-642-8747 or 973-761-9000 ext. 8747