Online Professional Certificate in Operations and Compliance

New York Institute of Finance


Self Paced Course

Available Now





72 Hours





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Online Professional Certificate in Operations and Compliance

Learn about the latest developments in trade processing and systems that enable firms to settle transactions accurately and efficiently.

CPE:16 CEU:2 ICB:84.5 ACAMS:3 ICPAS:13.5 CFA/CE:7 Credits

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To make it even easier to learn, you can finance your program through Affirm.

Loans offered through Affirm are available in the U.S. and Canada.

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Duration : 8 hours

  • 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 : 1 hour

  • Understand the processing and approval procedures
  • Identify the functions of back office departments
  • Understand the key dates in a settlement

Duration : 6 hours

  • Introduction to Margin Requirements
  • Margin Transactions
  • Margin Calls
  • Margin Requirements for Day Trading and Bonds

Duration : 9 hours

  • What is Money Laundering
  • International Initiatives
  • Customer Identification Program
  • Wolfsberg Principles on Correspondent Banking
  • Terrorist related money laundering

Duration : 2 hours

  • Payment and Settlement Systems
  • Electronic Transfer of Funds

Duration : 4 hours

  • Internal Controls in Banks
  • Banking Technology
  • Branch Security Management
  • Branch Security Fraud Aspects

Duration : 6 hours

  • Financial Privacy Regulation
  • Privacy Notices and their Content
  • Exceptions to the Rules and Reuse of Information
  • Exam Procedures
  • Security Guidelines
  • Section 501b of the GLB Act and the Management

Duration : 12 hours

  • Overview of SarbanesOxley 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 : 6 hours

  • Treasury Management – Scope and Importance
  • Overview of Risk Management
  • Treasury Management Systems
  • Treasury Policy
  • Treasury Controls
  • Accounting for Derivatives

Duration : 7 hours

  • 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 : 11.5 hours

  • ORM Framework
  • Risk Identification
  • Loss Data Collection Methodology
  • Risk SelfAssessment
  • Key Risk Indicators
  • Risk Quantification I
  • Risk Quantification II
  • Management Applications
  • Realization Challenges and Deployment Strategy