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Samford University : Financial Services Regulatory Compliance

Institution Samford University
Department Cumberland School of Law
Study type Taught


Upon completion of this program, students will:

Utilize legal databases to access the primary sources of financial services law in the United States: statutes, regulations and court decisions. Analyze key issues in financial services policy and compliance from ethical, legal and economic perspectives. Interpret and evaluate cost effectiveness and risk management studies for use in financial services management decision making. Communicate complex ideas, orally and in writing, using legal, financial and industry-specific terminology. Implement the basic components of an effective corporate compliance program in financial services. Learn best practices for balancing the safeguards for corporate security and consumer protection in a broad range of regulations concerning money laundering, financial fraud, privacy, and more. Continuously adapt to the evolving regulatory framework in the U.S., as transformed by Dodd-Frank and the CFPB. Be prepared for advancement in compliance management roles in organizations in the financial services industry, including prerequisites for industry leading certifications. Provide leadership in the enhancement of consumer protection and quality improvement.


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