Online Professional Certificate in Operations and Compliance

The ability to settle transactions accurately and efficiently has become crucial. Experienced operations personnel command the latest developments in trade processing and systems enjoy a premium pay scale.

Obtain the prestigious New York Institute of Finance Professional Certificate to help you meet your professional and personal goals. The Professional Certificate Programs are comprehensive in scope and offer you a wide variety of courses to choose from. In addition, you will receive professional continuing education credits to insure you are keeping up to date with your professional requirements.

All courses must be completed within one year with a score of at least 70% in each module.

Available TodayOnlineUSD$1800
Instructional Method:
Self-Study
Level: Intermediate

CPE CREDITSCEU CREDITSICB CREDITSACAMS CREDITSICPAS CREDITSCFA/CE CREDITS
16284.5313.57
Broker dealer personnel new to securities processing; broker dealer personnel who want a more in depth picture of the functions of middle and back office operations; regulatory personnel who need a more complete understanding of a broker dealer's operation; vendor personnel who conduct business with the specific processing areas of a broker dealer.
Students will be able to:
  • Recognize the importance of brokerage operations
  • Define the different kinds of customer accounts
  • Recognize how trades are recorded
  • Calculate the net amount due to a customer from a trade
  • Identify how trades are compared, reconciled confirmed, and booked.
  • Identify how settlement is performed using trade-for-trade and netted balance systems.
  • Recognize how technology has automated back office procedures.
  • Identify how brokerage operations are changing globally.
  • Recognize regulations that govern margin
  • Review a typical Margin Agreement
  • Identify the rules of liquidation/withdrawal.
  • State the requirements for marginable bonds.
  • Describe how accounts become restricted.
  • Understand The process of Money Laundering, measures against money laundering and initiatives taken by various organizations to combat terrorism
  • Comprehend the implications of offshore financial centers and non-cooperative countries on Money Laundering
  • Understand Due diligence measures undertaken by financial institutions to deter money laundering and terrorist financing
  • Explain Regulations applicable to banks
  • Understand various modes of payment and settlement systems
  • Discuss the mechanism of electronic funds transfer
  • Understand the features of different automated clearing systems
  • Discuss the role of technology in banking
  • Understand Branch Security Management
  • Recognize Fraud Aspects of Branch Security
  • Explain Restrictions on sharing of information
  • Understand Security guidelines - and MUCH more!
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    • Brokerage Operations
    Topics covered include:
    • Introduction to Brokerage Operations
    • Back Office: The Order Room
    • Back Office: Purchase and Sales
    • Back Office: The Margin Department
    • The Cashier's Department
    • Current Trends in Brokerage Operations
    • New Regulations in Brokerage Operations
    • Developments in International Brokerage Operations
    Duration: 8 hours

    Processing Securities Transactions
    Topics covered include:
    • Understand the processing and approval procedures
    • Identify the functions of back office departments
    • Understand the key dates in a settlement
    Duration: 1 hour

    Regulation in the UK Financial Services Markets
    Topics covered include:
    • Identify the main types of financial regulations in the UK and their purposes
    • Explain the role of the European Union in initiating EU-wide standards
    • Recognise the need for greater international regulatory cooperation and the role of the Basle Accord in international bank supervision
    Duration: 1 hour

    Margin I: Introduction to Margin Regulations
    Topics covered include:
    • Introduction to Margin Requirements
    • Margin Transactions
    • Margin Calls
    • Margin Requirements for Day Trading and Bonds
    Duration: 6 hours

    Anti Money Laundering
    Topics covered include:
    • What is Money Laundering
    • International Initiatives
    • Customer Identification Program
    • USA PATRIOT ACT
    • Wolfsberg Principles on Correspondent Banking
    • Terrorist related money laundering
    Duration: 9 hours

    Bank Branch Management – Payment and Settlement Systems
    Topics covered include:
    • Payment and Settlement Systems
    • Electronic Transfer of Funds
    Duration: 2 hours

    Bank Branch Management - Technology and Security
    Topics covered include:
    • Internal Controls in Banks
    • Banking Technology
    • Branch Security Management
    • Branch Security - Fraud Aspects
    Duration: 4 hours

    Financial Privacy
    Topics covered include:
    • Financial Privacy Regulation
    • Privacy Notices and their Content
    • Exceptions to the Rules and Reuse of Information
    • Exam Procedures
    • Security Guidelines
    • Section 501-b of the GLB Act and the Management
    Duration: 6 hours

    Sarbanes Oxley
    Topics covered include:
    • Overview of Sarbanes-Oxley Act
    • Public Company Accounting Oversight Board
    • Auditor Independence
    • Corporate Responsibility
    • Enhanced Financial Disclosures
    • Analyst Conflicts of Interest
    • Commission Resources and Authority
    • Studies and Reports
    • Corporate and Criminal Fraud Accountability
    • White Collar Crime Penalty Enhancements
    • Corporate Tax Returns
    • Corporate Fraud and Accountability
    Duration: 12 hours

    Corporate Treasury Management: Implementation
    Topics covered include:
    • Treasury Management – Scope and Importance
    • Overview of Risk Management
    • Treasury Management Systems
    • Treasury Policy
    • Treasury Controls
    • Accounting for Derivatives
    Duration: 6 hours

    Governance Risk and Compliance
    Topics covered include:
    • Classification of Risks
    • Introduction to ERM and its Frameworks
    • Regulatory Landscape
    • GRC - Demystified
    • COSO and CobiT in Support of GRC Needs
    • Operational Risk Management Primer
    • GRC - Case Study
    Duration: 7 hours

    Operational Risk Management - Basel II
    Topics included:
    • ORM Framework
    • Risk Identification
    • Loss Data Collection Methodology
    • Risk Self-Assessment
    • Key Risk Indicators
    • Risk Quantification - I
    • Risk Quantification - II
    • Management Applications
    • Realization Challenges and Deployment Strategy
    Duration: 11.5 hours

    Save over 10% off tuition by enrolling in this program (over individual class enrollments)