Investment Adviser Certified Compliance Professional Program
Prepare for the challenges of today’s compliance environment with a comprehensive certificate program
The NRS Investment Adviser Certified Compliance Professional® (IACCP®) program, co-sponsored by the Investment Adviser Association (IAA), is a professional education program granting the designation, Investment Adviser Certified Compliance Professional (IACCP), to individuals who complete an online and/or in-person instructor-led program of study, pass a certifying examination, and meet its work experience, ethics and continuing education requirements. View the Program Requirements for more details.
The program, developed by NRS in 2005 and co-sponsored since 2007 with the Investment Adviser Association (IAA), acknowledges the heightened role of compliance and responds to the growing industry demand for advanced compliance education and nationally recognized professional standards.
The compliance profession is demanding standards akin to professional credentials in the accounting, financial analysis and financial planning professions. Exhaustive certification and course development, together with expert instructors and facilitators from the compliance, legal, regulatory, industry and academic sectors, help ensure that individuals earning the IACCP designation have been trained, tested and certified to meet high industry professional standards. Over 360 investment adviser compliance professionals from firms of all sizes have earned the designation.
The IACCP Program primarily focuses on the general foundation knowledge that is associated with the job responsibilities and functions that most investment adviser compliance professionals with two years experience are expected to perform, and does not purport to test on the more specialized knowledge that is associated with a highly experienced and expert compliance professional.
The Program provides participants with a compliance education based on a solid understanding of regulations and rules that all investment advisers must comply with, including the latest rule changes under the Dodd-Frank Act. The program curriculum includes a detailed, step-by-step examination of the Investment Advisers Act of 1940 and related state and federal regulations, provides guidance for building a strong compliance program and highlights best practices that can immediately be implemented at firms.
Key features and benefits of the NRS IACCP Program:
- The credential signals industry-wide recognition of an enhanced knowledge and skill level, and clarifies competency requirements
- Required education, offered online and/or onsite, provides experienced-based learning that produces a highly effective new breed of compliance professionals
- Firms that train compliance personnel add another cost- and time-effective risk management tool
- Earning an established designation helps increase credibility of both the individual and firm
- Continuing education requirements for attorneys, accountants/CPAs, certified financial planners and compliance professionals can be earned while completing the Program’s education courses
For those who want to take the first step toward advancing their investment adviser compliance education with a less intensive curriculum, the NRS Investment Adviser Core Compliance Program provides a foundation with focus on the first level of compliance courses. By completing 10 courses, compliance professionals can earn a Certificate of Achievement, which can also be applied for credit in the future toward the IACCP Program requirements. Review the Core Program requirements.