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Wealth Management Compliance Professionals

Certification, Licensing, and Special Requirements

Certification or Licensing

Several associations and a college have developed certification programs for compliance professionals. The Society of Corporate Compliance and Ethics’ Compliance Certification Board awards the certified compliance and ethics professional, the certified compliance and ethics professional fellow, and other credentials to those who pass a certification exam and meet educational and experience requirements. The Regulatory Compliance Association offers the chartered regulatory counsel and the certified compliance officer designations. The American Bankers Association provides the certified regulatory compliance manager credential to applicants who have at least three years of industry experience, earn 80 continuing education credits, and pass an examination.

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