Investment adviser compliance is an attractive field due to strong demand, high earning potential, and long-term stability. With the SEC increasing regulatory oversight and the number of RIAs growing, firms are required to maintain robust compliance programs, making compliance roles essential. Professionals can earn well—especially as CCOs or consultants—and the work offers diverse career paths in-house, in consulting, or with regulators. It’s intellectually rewarding, combining finance, law, and ethics, and increasingly involves technology like RegTech and AI. These roles can and often lead to leadership positions such as COO or Partner.
Earning the Registered Compliance Professional (RCP™) designation is a mark of distinction in the investment management compliance industry. It demonstrates to clients, colleagues, and employers that you possess proven expertise, comprehensive training, and relevant experience in compliance matters. This certification not only verifies your knowledge and skills, but also enhances your credibility and career opportunities, positioning you as a trusted authority in the field. In a constantly evolving regulatory environment, being a Registered Compliance Professional signifies your commitment to upholding the highest standards and staying current with industry best practices.
The Regulatory Compliance Professional (RCP) designation stands apart from traditional compliance certifications by offering more than just academic theory—it delivers practical, real-world application of regulatory rules through hands-on case studies and actionable insights. Developed by seasoned Chief Compliance Officers and top-tier consultants at Vigilant Compliance, the program integrates award-winning compliance methodologies refined through decades of industry experience. Whether you're an experienced compliance professional seeking to enhance your credentials and distinguish yourself in a competitive field, or you're new to the industry and looking to accelerate your learning curve, the RCP Program provides the advanced training and credibility needed to elevate your career to the next level.
To be certified as a Registered Compliance Professional™, you must do the following: Complete seven (7) required courses (chosen from the list below); Complete at least one (1) year of Compliance Experience and provide a summary of that experience to the RCP Organization for its review and complete your RCP Enrollment Form; and Complete a Compliance Exam and receive a passing score. Compliance Education Course List: 1. Overview of Federal Securities Laws and Investment Adviser’s Act of 1940 (Required) 2. Accuracy of Disclosures to Clients (Required) 3. Business Continuity Programs 4. Books and Records and Required Record Retention 5. Marketing and Advisory Services 6. Code of Ethics and Employee Personal Trading (Required) 7. Portfolio Management 8. Privacy and Information Protection 9. Safeguarding Client Assets (“Custody”) 10. Trading Practices 11. Valuation and Fees Note: Courses are added on an on-going basis, these courses are tied to Investment Management Industry relevant and timely topics.
There is a one-time fee of $4,000 for the RCP Certification Program. Payment plans and multiple firm registration discounts are available upon request.
To maintain your Certification, you are required to complete at least four (4) hours of Compliance Training annually. This can be accomplished by either participating in live or recorded Webinars, where RCP continuing education is available. NOTE: Continuing education credits for webinars delivered in real-time can only be awarded to participants who have registered for and are logged in to the webinar as themselves, participated during the webinar, and submitted the evaluation form upon webinar completion.
