The first program to be developed by the Center is the Investment Adviser Compliance Certificate Program, the first program of its kind to grant certification designed to formalize and standardize the knowledge, skills, abilities and ethical commitment of investment advisory compliance professionals. The designation received upon completion of the Program’s requirements is the Investment Adviser Certified Compliance Professional^sm (IACCP^sm).

NRS has conducted a robust job analysis, and added layers of rigor and testing to create a certification that wholly reflects what the industry demands of compliance professionals today and what will be effective in the foreseeable future. The development of the Investment Adviser Compliance Certificate Program is the natural evolution of our benchmark compliance training to the establishment of an industry professional standard.

The Investment Adviser Compliance Certificate Program is a professional education program granting a certified designation, Investment Adviser Certified Compliance Professional (IACCP), to individuals who complete certain requirements. This certification:

• signals recognition of an advanced knowledge and skill level, and clarifies competency requirements;
• provides essential face-to-face training combined with the convenience of instructor-led online training
• provides a blended learning experience that produces a highly effective new breed of compliance professionals; and
• allows firms that train compliance personnel to add another cost- and time-effective risk management tool.

Whether your firm is SEC or state registered, attending either one course or enrolling in the Investment Adviser Compliance Certificate Program can help you and your staff enhance professional competency by:

• Gaining practical knowledge and skills through the study of the Investment Advisers Act and SEC rules, no-action letters, recent administrative proceedings and court cases, and real life situations;
• Understanding investment adviser laws and regulations and learning to develop policies and procedures appropriate to the firm;
• Participating in training activities that reinforce knowledge and help develop good compliance judgment;
• Helping your firm avoid deficiencies, fines and penalties;
• Interacting with industry peers to address and resolve compliance challenges;
• Earning continuing education credits.

Individuals receiving the IACCP^sm designation would be armed with the requisite knowledge and skills that define a competent and respected compliance professional in the investment advisory industry.

In addition to increasing the number and level of skilled compliance professionals to staff larger compliance departments and accommodate a more stringent regulatory environment, certification is a major step toward achieving industry-wide recognition of the profession.

The Certificate Program exists to equip compliance professionals with the knowledge, skills, abilities and support system to successfully function in an investment advisory compliance position, help establish a compliance culture in any investment adviser firm, and advance compliance as a profession.