Financial Markets Compliance (J.D. Certificate)

The J.D. Certificate in Financial Markets Compliance provides students with substantive knowledge of financial markets compliance and signals to employers a student’s interest in the field.

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Financial services law refers to the laws and regulations that govern the services and transactions of investment banks, hedge funds, investment advisers, insurance carriers, brokerages and trading firms, securities and futures exchanges, self-regulatory agencies, business entities issuing securities, and consumer finance businesses.

Chicago-Kent’s J.D. Certificate in Financial Markets Compliance, one of the first of its kind at an American law school, offers students a rich curriculum in financial markets regulation, including classes in securities, commodities, and banking regulation, along with a capstone compliance course.

Program Overview

This program offers students a rich curriculum in financial markets regulation, including classes in securities, commodities, and banking regulation, along with a capstone compliance course.

Career Opportunities

Financial services lawyers can be found in law firms and private industry as well as in government departments and agencies such as the United States Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Commodity Futures Trading Commission, the U.S. Department of Justice, and the Office of the Comptroller of Currency at the U.S. Treasury Department, and the Federal Reserve Banks.

  • Chief compliance officer
  • Compliance attorney
  • Finance attorney
  • Securities lawyer

The J.D. Certificate in Financial Markets Compliance requires a minimum of 16 credit hours of approved coursework that expose students to all of the most important aspects of compliance. Students are required to have at least 12 weeks of work experience related to compliance and to write a paper on a compliance-related topic.

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This program is open only to J.D. students at Chicago-Kent College of Law.