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MLS Degree: Financial Regulatory Compliance

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 manage 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 an unusually detailed understanding of the financial regulations, preparing them to take on compliance positions in both large and small finance companies.

Requirements

Core Courses

  • LSTU 500S Introduction to the Legal System (3 credits)
  • LSTU 501S Compliance Skills: Auditing, Investigation & Reporting (3 credits)
  • LSTU 502S Ethics and Professional Standards (3 credits)
  • LSTU 503S Legal Research and Analysis (3 credits)
  • LSTU 507S Risk Assessment and Management (3 credits)
  • LSTU 540S MLS Masters Capstone (3 credits)

Financial Regulatory Compliance Concentration

  • LAW 700S Business Organizations (3 credits)*

Select a path:

1. Banking Compliance (choose three of the following courses)

  • LAW 515S The Law of Information Privacy (3 credits)
  • LAW 736S Broker/Dealer Regulation (3 credits)
  • LAW 737S Banking Law (3 credits)
  • LSTU 516S The Law and Legal Strategies Surrounding Cybersecurity (3 credits)

2. Asset Management Compliance (choose three of the following courses)

  • LAW 515S The Law of Information Privacy (3 credits)
  • LAW 734S Legal Regulation of Investment Companies (3 credits)
  • LAW 735S Broker/Dealer Regulation (3 credits)
  • LSTU 516S The Law and Legal Strategies Surrounding Cybersecurity (3 credits)

* This course may be replaced with an elective if you have extensive financial experience. Your academic advisor can guide you on the best plan of study.