Financial Services - Compliance and Risk Program (Postgraduate) (B434)
Program Description
Leadership Claims
The Financial Services – Compliance and Risk (B434) program was designed with industry leaders to prepare students to excel in the vast area of compliance and risk services in financial institutions. Approved by Ontario’s Ministry of Colleges and Universities, this program features industry leading curriculum to provide students with a competitive advantage when seeking opportunities in organizations across the financial services sector.
Program Overview
Prepare for an exciting career in the financial services sector with the one-year, two-semester Financial Services – Compliance and Risk (B434) graduate certificate program. This program, designed in collaboration with leading industry experts, addresses the principles and issues surrounding compliance and risk in Canadian financial institutions.
Full Description
Prepare for in-demand positions in the financial services industry with the Financial Services – Compliance and Risk (B434) postgraduate program. Classes run at St. James Campus, just blocks from Bay Street in Toronto’s Financial District, the heart of Canada’s financial center.
This distinct one-year program, developed with leading industry experts, empowers students to address the principles and issues surrounding compliance and risk in financial institutions. It takes a holistic approach to compliance and its relationship with key stakeholders by balancing practical and strategic solutions against increased regulatory oversight, technological complexity and ethical concerns. Students explore a range of courses, including Anti-Money Laundering (AML), Regulatory Oversight of Financial Products, Advanced Topics in Regulatory Compliance, Risk Management and Strategic Decision-Making and more.
Students will have access to market-leading compliance technology, prepare policies, filings and automated solutions to address current issues, delve into areas of possible specialization, and gain the skills and knowledge needed to succeed in a compliance or risk career in the financial services sector.
Completing this certificate program does not provide an automatic pathway to earning a professional credential or certification from a professional body.
Career & Postgraduate Study Opportunities
Industry
The financial services industry is Toronto's third-largest private sector employer1. In Ontario, the sector generates approximately $82 billion in GDP and employs approximately 408,000 people in more than 17,000 financial services firms2.
- The Conference Board of Canada, What Toronto's Financial Sector brings to the economy, July 6, 2023.
- Invest Ontario, Financial Services.
Educational Pathways
Graduates of this program may seek additional professional certification in AML or privacy (i.e., ACAMS, CIPP/C, etc.), or may pursue additional graduate certificate opportunities in a related field. Some, particularly those with previous degree experience, may also pursue higher study, such as a Master’s degree at a university.
Alumni Impact
We are immensely proud of the contributions of our alumni in Toronto and around the globe.
From Michelin-starred restaurants to major construction, entertainment, community and financial organizations, our graduates are truly making an impact across a range of industries.
Latest alumni stories
Courses
Required Courses
Semester 1
| Course Code | Course Title |
|---|---|
| CMPL 1000 | Introduction to Regulatory Compliance |
| CMPL 1001 | Anti-Money Laundering (AML): Principles & Procedures |
| CMPL 1002 | Business Ethics & Corporate Responsibility |
| CMPL 1003 | Regulatory Oversight of Financial Products |
| CMPL 1004 | Risk Mitigation through Testing & Controls |
| CMPL 1005 | Compliance Technology & Tools I |
Semester 2
| Course Code | Course Title |
|---|---|
| CMPL 2000 | Advanced Topics in Regulatory Compliance |
| CMPL 2001 | Fraud Investigation |
| CMPL 2002 | Privacy & Data Protection |
| CMPL 2005 | Career Development for Compliance Professionals |
| CMPL 2003 | Risk Management & Strategic Decision Making |
| CMPL 2004 | Compliance Technology & Tools II |
Program Learning Outcomes
The graduate has reliably demonstrated the ability to:
- Write compliance policies in accordance with Canadian legal and regulatory requirements and bes practices in policy management.
- Assess practices within the financial services sector to suggest process improvements that meet governing and regulatory body requirements.
- Conduct oneself ethically and in adherence with environmental, social and governance principles to meet industry expectations and regulatory standards.
- Utilize strategic decision making, accounting forensics and financial investigative techniques to mitigate fraud and compliance issues in financial markets.
- Communicate and collaborate with stakeholders to build appropriate controls for compliance monitoring, fraud detection and related reporting
- Use personal strategies to maintain, improve, and promote professional competence and development within the field of compliance.
- Implement principles of project and change management to adapt organizational practices in accordance with evolving regulatory requirements, legislation and corporate initiatives.
- Implement data protection and privacy laws for client or organizational information to ensure confidentiality and safeguard sensitive information.
- Use technology and compliance tools to locate, assess, analyze and interpret financial data.
- Evaluate financial transactions for digital financial crimes and cyber crime including anti-money laundering to mitigate risk.
Tuition & Fees
Domestic Tuition
International Tuition
Additional Costs
*Amounts listed are the total of tuition, materials, student service and ancillary fees for the first two semesters of programs starting in Fall 2024. Fees are subject to change for programs starting in Fall 2025 and at later dates.
** Amounts listed are the estimated total of tuition, materials, student service and ancillary fees for the first two semesters of programs starting in Fall 2025. Tuition fees are subject to board approval. Material, student service and ancillary fees are estimated based on prior years. All fees are subject to change without notice.
International Students
Visit the International Fees and Related Costs page for more information.
Financial Assistance
Each year we award over $2 million dollars in scholarships, awards and bursaries to first-year students. Check out our financial aid web pages for ways to pay for college and the full list of available scholarships, awards and bursaries.
This program is approved for OSAP funding, provided the applicant meets OSAP eligibility criteria.
Disclaimer: The information contained in this website is subject to change without notice. It should not be viewed as a representation, offer or warranty. Students are responsible for verifying George Brown College fee requirements.
Admission Requirements
College diploma (two-year), advanced diploma (three-year) or bachelor’s degree or demonstrated relevant work experience (resumé and references required).
English Language Proficiency
Applicants with international transcripts who do not provide English proficiency test results must test at the college level in the George Brown College English assessment to be considered for admission. In addition, applicants who are considered for admission to the program based solely on their work experience will be required to provide proof of English proficiency at the college level, and may be required to write the George Brown College English admission assessment.
Please review our English proficiency requirements.
Course Exemptions
Some college and university credits may qualify you for exemptions. Please visit our transfer guide for more information.
International Students
Visit the International Admissions page for more information regarding country specific admission requirements.
How to Apply
Domestic students should apply through Ontario Colleges.
International Students
Visit the How to Apply page for more information on how and when to apply.
International students should apply through the George Brown College Online Application System.
Contact Us
Information Sessions
Information sessions are held on a regular basis. Come and have your questions answered. Learn about the program content and career options, meet your friendly professors and staff, and experience what it is like to be in a George Brown College classroom. Sign up for an upcoming session.
Domestic Student Admissions
For inquiries about domestic admission requirements, admission deadlines, or the admissions process, please contact the Admissions Office at admissions@georgebrown.ca or visit the Admissions section.
International Student Admissions
Contact one of our international recruitment representatives specializing by country of origin by either booking a virtual meeting or submitting an inquiry. For more information visit the International Contact Us page.
Fees and Financial Information
For inquiries about OSAP, Bursaries, Scholarships and other financial inquiries, please contact the Financial Aid Office at FinAid@georgebrown.ca or visit the Financial Aid section.
Entry Advising
For advice on the various program options and which program might be best suited for you, make an appointment to see an Entry Advisor. Please review these frequently asked questions.
Centre for Business
For questions regarding programs at the Centre for Business or if you require more information, please do not hesitate to contact us. Our knowledgeable staff are available to assist you.
For general inquiries, please contact the Centre for Business:
Email: business@georgebrown.ca
Phone: (416) 415-5000 ext. 2160
Financial Services – Compliance and Risk (B434)
For inquiries related to this program (for example, course-specific information), please contact:
Leona Tranter, Program Co-ordinator
Email: leona.tranter@georgebrown.ca
Contact one of our international recruitment representatives specializing by country of origin by either booking a virtual meeting or submitting an inquiry. For more information visit the International Contact Us page
Visit Our Campus
This program is offered at our School of Accounting and Finance, and classes take place at St. James Campus.
Campus tours are offered on a regular basis. Sign up today! You can also check out our virtual tour.
Social Media Channels:
Financial Services - Compliance and Risk Program (Postgraduate) (B434)
Program Description
Leadership Claims
The Financial Services - Compliance and Risk (B434) program was designed with industry leaders to prepare students to excel in the vast area of compliance and risk services in financial institutions. Approved by Ontario’s Ministry of Colleges and Universities, this program features industry leading curriculum to provide students with a competitive advantage when seeking opportunities in organizations across the financial services sector.
Program Overview
Prepare for an exciting career in the financial services sector with the one-year, two-semester Financial Services - Compliance and Risk (B434) graduate certificate program. This program, designed in collaboration with leading industry experts, addresses the principles and issues surrounding compliance and risk in Canadian financial institutions.
Full Description
Prepare for in-demand positions in the financial services industry with the Financial Services - Compliance and Risk (B434) postgraduate program. Classes run at St. James Campus, just blocks from Bay Street in Toronto’s Financial District, the heart of Canada's financial centre.
This distinct one-year program, developed with leading industry experts, empowers students to address the principles and issues surrounding compliance and risk in financial institutions. It takes a holistic approach to compliance and its relationship with key stakeholders by balancing practical and strategic solutions against increased regulatory oversight, technological complexity, and ethical concerns. Students explore a range of courses, including Anti-Money Laundering (AML), Regulatory Oversight of Financial Products, Advanced Topics in Regulatory Compliance, Risk Management and Strategic Decision Making and more.
Students will have access to market-leading compliance technology, prepare policies, filings and automated solutions to address current issues, delve into areas of possible specialization, and gain the skills and knowledge needed to succeed in a compliance or risk career in the financial services sector.
Career & Postgraduate Study Opportunities
Industry
The financial services industry is Toronto's third-largest private sector employer1. In Ontario, the sector generates approximately $82 billion in GDP and employs approximately 408,000 people in more than 17,000 financial services firms2.
- The Conference Board of Canada, What Toronto's Financial Sector brings to the economy, July 6, 2023.
- Invest Ontario, Financial Services.
Educational Pathways
Graduates of this program may seek additional professional certification in AML or privacy (i.e., ACAMS, CIPP/C, etc.), or may pursue additional graduate certificate opportunities in a related field. Some, particularly those with previous degree experience, may also pursue higher study, such as a master’s degree at a university.
Alumni Impact
We are immensely proud of the contributions of our alumni in Toronto and around the globe.
From Michelin-starred restaurants to major construction, entertainment, community and financial organizations, our graduates are truly making an impact across a range of industries.
Latest alumni stories
Courses
Required Courses
Semester 1
| Course Code | Course Title |
|---|---|
| CMPL1000 | Introduction to Regulatory Compliance |
| CMPL1001 | Anti-Money Laundering (AML): Principles & Procedures |
| CMPL1002 | Business Ethics & Corporate Responsibility |
| CMPL1003 | Regulatory Oversight of Financial Products |
| CMPL1004 | Risk Mitigation through Testing & Controls |
| CMPL1005 | Compliance Technology & Tools I |
Semester 2
| Course Code | Course Title |
|---|---|
| CMPL2000 | Advanced Topics in Regulatory Compliance |
| CMPL2001 | Fraud Investigation |
| CMPL2002 | Privacy & Data Protection |
| CMPL2005 | Career Development for Compliance Professionals |
| CMPL2003 | Risk Management & Strategic Decision Making |
| CMPL2004 | Compliance Technology & Tools II |
Program Learning Outcomes
The graduate has reliably demonstrated the ability to:
- Write compliance policies in accordance with Canadian legal and regulatory requirements and bes practices in policy management.
- Assess practices within the financial services sector to suggest process improvements that meet governing and regulatory body requirements.
- Conduct oneself ethically and in adherence with environmental, social and governance principles to meet industry expectations and regulatory standards.
- Utilize strategic decision making, accounting forensics and financial investigative techniques to mitigate fraud and compliance issues in financial markets.
- Communicate and collaborate with stakeholders to build appropriate controls for compliance monitoring, fraud detection and related reporting
- Use personal strategies to maintain, improve, and promote professional competence and development within the field of compliance.
- Implement principles of project and change management to adapt organizational practices in accordance with evolving regulatory requirements, legislation and corporate initiatives.
- Implement data protection and privacy laws for client or organizational information to ensure confidentiality and safeguard sensitive information.
- Use technology and compliance tools to locate, assess, analyze and interpret financial data.
- Evaluate financial transactions for digital financial crimes and cyber crime including anti-money laundering to mitigate risk.
Tuition & Fees
Domestic Tuition
International Tuition
Additional Costs
Amounts listed are the estimated total of tuition, materials, student service and ancillary fees for the first two semesters of programs starting in Fall 2023. Fees are subject to change for programs starting in Fall 2024 and at later dates. This fee does not include books, which are to be purchased by the student separately.
** Amounts listed are the estimated total of tuition, materials, student service and ancillary fees for the first two semesters of programs starting in Fall 2024. Tuition fees are subject to board approval. Material, student service and ancillary fees are estimated based on prior years. All fees are subject to change without notice. This fee does not include books, which are to be purchased by the student separately.
International Students
Visit the International Fees and Related Costs page for more information.
Financial Assistance
Each year we award over $2 million dollars in scholarships, awards and bursaries to first-year students. Check out our financial aid webpages for ways to pay for college and the full list of available scholarships, awards and bursaries.
This program is approved for OSAP funding, provided the applicant meets OSAP eligibility criteria.
Disclaimer: The information contained in this website is subject to change without notice. It should not be viewed as a representation, offer or warranty. Students are responsible for verifying George Brown College fee requirements.
Admission Requirements
College advanced diploma (three-year) or bachelor's degree or demonstrated relevant work experience (resumé and references required).
English Language Proficiency
Applicants with international transcripts who do not provide English proficiency test results must test at the college level in the George Brown College English assessment to be considered for admission. In addition, applicants who are considered for admission to the program based solely on their work experience will be required to provide proof of English proficiency at the college level, and may be required to write the George Brown College English admission assessment.
Please review our English proficiency requirements.
Course Exemptions
Some college and university credits may qualify you for exemptions. Please visit our transfer guide for more information.
International (Visa) Students
Visit the International Admissions page for more information.
International Students
Visit the International Admissions page for more information regarding country specific admission requirements.
How to Apply
Domestic students should apply through Ontario Colleges.
International Students
Visit the How to Apply page for more information on how and when to apply.
International students should apply through the George Brown College Online Application System.
Contact Us
Information Sessions
Information sessions are held on a regular basis. Come and have your questions answered. Learn about the program content and career options, meet your friendly professors and staff, and experience what it is like to be in a George Brown College classroom. Sign up for an upcoming session.
Domestic Student Admissions
For inquiries about domestic admission requirements, admission deadlines, or the admissions process, please contact the Admissions Office at admissions@georgebrown.ca or visit the Admissions section.
International Student Admissions
Contact one of our international recruitment representatives specializing by country of origin by either booking a virtual meeting or submitting an inquiry. For more information visit the International Contact Us page.
Fees and Financial Information
For inquiries about OSAP, Bursaries, Scholarships and other financial inquiries, please contact the Financial Aid Office at FinAid@georgebrown.ca or visit the Financial Aid section.
Entry Advising
For advice on the various program options and which program might be best suited for you, make an appointment to see an Entry Advisor. Please review these frequently asked questions.
Centre for Business
For questions regarding programs at the Centre for Business or if you require more information, please do not hesitate to contact us. Our knowledgeable staff are available to assist you.
For general inquiries, please contact the Centre for Business:
Email: business@georgebrown.ca
Phone: (416) 415-5000 ext. 2160
Financial Services - Compliance and Risk (B434)
For inquiries related to this program (for example, course-specific information), please contact:
Dr. Mohammad H. A. Khan, Interim Associate Dean, School of Accounting and Finance
Email: mohammad.khan@georgebrown.ca
Contact one of our international recruitment representatives specializing by country of origin by either booking a virtual meeting or submitting an inquiry. For more information visit the International Contact Us page
Visit Our Campus
This program is offered at our School of Accounting and Finance, and classes take place at St. James Campus, mainly at 200 King St. E., and 290 Adelaide St. E., Toronto, Ontario, Canada.
Campus tours are offered on a regular basis. Sign up today! You can also check out our virtual tour.
