The financial industry is among the most highly regulated of all fields. Both the state and federal governments ensure the stability of the American economy by scrutinizing the operations of mutual funds, stockbrokers, banks and the many other businesses that impact the nation’s commerce. Each of these companies is required to fulfill extensive compliance requirements, facing criminal and civil penalties for their failure to closely follow the law. According to the Bureau of Labor Statistics, the field of Financial Compliance is expected to grow by 10% from 2014 to 2024, outpacing the estimated overall job growth of 7%. Our graduates gain a detailed understanding of financial regulations, preparing them to take on compliance positions in both large and small finance companies.

Requirements

Core Courses (25 Credits)

• LSTU 550 Introduction to the Legal System (4 credits)
• LSTU 551 Compliance Skills: Auditing, Investigation & Reporting (4 credits)
• LSTU 552 Ethics and Professional Standards (4 credits)
• LSTU 553 Legal Research and Analysis (4 credits)
• LSTU 554 Risk Assessment and Management (4 credits)
• LSTU 560 MLS Masters Capstone (3 credits)
• LSTU 561 MLS Masters Capstone (2 credits)

Financial Regulatory Compliance Concentration (20 Credits)

Choose 3 of these courses plus an additional 2 elective courses:

• LSTU 649 Foundations of Financial Regulation (4 credits)
• LSTU 650 Legal Regulation of Global Financial Crimes (4 credits)
• LSTU 651 Legal Regulation of Investment Advisers (4 credits)
• LSTU 652 Legal Regulation of Investment Companies (4 credits)
• LSTU 653 Broker/Dealer Regulation (4 credits)
• LSTU 654 Banking Law (4 credits)
• Electives (8 credits)