The Center for Compliance Professionals:
Advancing Compliance as a Profession

The Center for Compliance Professionals is the compliance education and professional development division of NRS, which administers several industry educational opportunities including the Investment Adviser Compliance Certificate Program. The Center will help ensure that the individuals earning the Certified Compliance Professional designation have been trained, tested and certified to meet high industry professionals standards.

The Center acknowledges the unprecedented heightened role of compliance and responds to the growing industry demand for advanced compliance education and nationally recognized professional standards, similar to the professional credentials in the accounting, financial analysis and financial planning professions.

Thus, the Center exists to advance compliance as a profession by actively supporting:

• Certificate programs that grant professional designations for compliance knowledge and skill proficiency,
• Education and continuing education courses that help prepare industry, legal and compliance personnel to meet the industry’s dynamic challenges,
• Advisory services to guide individuals eager to begin or enhance a career in compliance,
• Leadership development in the profession,
• Forums through which regulators, compliance professionals and industry leaders can exchange dialogue and implement solutions to establish and maintain the highest industry standards,

Certification is a necessary step towards achieving industry-wide recognition of the profession and advancing the stature of compliance. The heart of the Center is a series of formal certificate program that helps establish national professional standards for compliance professionals and grants a professional designation to help confirm compliance competency.

The Center, through education and training programs, helps assure the financial markets of the competency of compliance professionals and will recognize and clarify competency levels particularly for Senior Management now tasked with the hiring responsibility of Compliance professionals.