Certificate in Investment Dealer Compliance

Canadian Securities Institute
Training overview
Program dependent
Next start date: Available to start now - Online

Course description

Certificate in Investment Dealer Compliance

Are you interested in advancing or embarking on your compliance career?

The Certificate in Investment Dealer Compliance is the only program of its kind in Canada specifically tailored to provide specialized knowledge of compliance issues, actions, and impacts to business units within securities firms.

This industry recognized program applies to both retail and institutional dealer settings.

Who should attend?

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
  • Compliance officers working within the retail branch of a securities firm
  • Head-office compliance department at a securities firm

Training Content

This certificate will allow you to:

  • Gain a recognized and transferable credential
  • Fulfill IIROC CE Compliance credits
  • Meet IIROC proficiency requirements (for 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

About supplier

Canadian Securities Institute

Canadian Securities Institute

The Canadian Securities Institute (CSI) has been setting the standard for excellence in life-long education for financial professionals for more than 45 years. CSI is part of Moody’s Analytics Training and Certification Services, which offers education programs and credentials throughout...

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An extensive course covering compliance essentials.
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