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Online Certificate of Advanced Studies - Regulatory and Compliance Assurance


The Certificate of Advanced Studies in Regulatory and Compliance Assurance is designed for students interested in gaining a deeper understanding of this emerging and complex topic. Modern financial and technological organizations are required to conform to numerous national and international policies, regulations and laws. Navigating through these requirements can be a very difficult undertaking. In addition, today’s agile business environments require managers and leaders who can navigate the complexities of this complex legal and regulatory environment. This 18 credit hour (six courses) graduate certificate provides students with the opportunity to gain knowledge of this key topic and meet their career goals.


The Regulatory and Compliance Assurance Certificate will also help prepare students to take advantage of testing for this professional certification:

  • :: Certified Anti-Money Laundering Specialist (CAMS)

Courses & Curriculum

Students will learn hands-on investigative skills using the most modern and up-to-date tools and technologies in the following courses:

BUS 611/612 – Principles and Practices of Leadership
Prereqs: must take BUS 611 before BUS 612

Introduction to foundational HR, OD and ethical concepts of leadership; theoretical and technical business knowledge; modern ethical leadership in today's business organization. This course is the companion course to BUS 612.
Building on HR, OD and ethical concepts of leadership, explores case study analysis of real-world leadership challenges and issues. Semester project: develop "philosophy of leadership" and career mission statement. This course is the companion course to BUS 611.

FCM 535 – Legal and Regulatory Issues for Fraud Management
Case study analysis of business and economic crimes, including cybercrime, criminal liability of business entities, management and employees, investigation and prosecution.

FCM 611 – Organizational Theory, Structure, and Design
This course is designed to familiarize students with the structure and design of organizations. Emphasis will be on systems theory and its applicability to today's environment, identifying external environmental forces, designing optimal corporate structure for the organization's mission, changing organizational structure and analyzing the process and effects of corporate infrastructure.

FCM 612 – The Manager in a Global Environment
This course is designed to familiarize students with the challenges faced by managers and organizations precipitated by the postindustrial knowledge-based, global society. Discussions will include topics such as the changing concepts of technology and knowledge, impact of workforce changes on managers and organizations, the evolution of management thought and concepts, managing in foreign cultures, international law issues and managing a multi-cultural workforce.

FCM 627 – Fraud Management: Risk and Compliance
Application of principles and practices of compliance and operational risk assessment and mitigation to the management of fraud prevention detection, and investigation.

CYB 665 – Legal Foundations of Information Security and Privacy
This course addresses the principles of privacy relating to non-public personal information and proprietary business or government information, including policy issues; legal, regulatory and business controls; and best practices.

Total Required Credits Hours: 18

Admission Requirements

To apply for admission, you must meet the following requirements:

  • :: Bachelor's degree or International equivalent
  • :: Minimum GPA of 2.7. Applicants with GPAs below 2.7 can be admitted at the discretion of the department
  • :: No GRE or GMAT exam required

Regulatory and Compliance Assurance Learning Goals

  • :: Understand and assess the difference between management and leadership in a modern organization
  • :: Understand the legal and regulatory issues related to financial crime, fraud and cybercrime investigations
  • :: Analyze, assess and create techniques for fraud management and cybersecurity risk and compliance

Continue Your Education

When you’re ready to advance your education, you may seamlessly transfer your Certificate of Advanced Studies credits to complete either of these Master's degrees in as few as 12 months.Not all credit hours may transfer into the Master’s degree. Permission of the Program Director is required.

Additional Certificates of Advanced Study can be found here.

Want to Learn More?

Request More Information or call us today at 315.732.2640 or toll-free at 866.295.3106 to speak with a Program Manager.

¹Students are expected to take 1 class every 8 weeks. Please contact your Program Manager for detailed guidelines.