Contact Information

Felice Batlan
565 W. Adams St., Room 833
Chicago, IL 60661
fbatlan@kentlaw.iit.edu
P: (312) 906-5341

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J.D. Certificate Program in Financial Markets Compliance

Chicago-Kent's J.D. Certificate in Financial Markets Compliance, one of the first of its kind at an American law school, provides students with substantive knowledge of financial markets compliance and signals to employers a student's interest in the field. The program offers a rich curriculum in financial markets regulation, including classes in securities, commodities and banking regulation, along with a capstone compliance course.

The J.D. Certificate in Financial Markets Compliance requires a minimum of 16 credit hours of approved coursework that expose students to all of the most important aspects of compliance.

Curriculum and Requirements

Required Courses
  • Business Organizations (4 credits)
  • Securities Regulation (3 credits)
  • Futures and Derivatives Regulation (2 or 3 credits)
  • Banking Regulation (3) or Consumer Banking Regulation (2 credits)
  • Capstone Compliance Course (3 credits)
Elective Courses

(to fulfill the 16 credit hours needed)

  • Hedge Funds (2) or Investment Funds (3 credits)
  • Regulation of Securities and Commodities Professionals (2 credits)
  • Enforcement and Litigation of Securities and Commodities Professionals (2 credits)
Experience

Students are required to have at least 12 weeks of work experience related to compliance. This may be fulfilled though an internship, externship or paid work.

Writing Requirements

Students are required to write a paper on some topic of compliance. This requirement can be fulfilled through an independent study, seminar paper or law review note, or by taking the online compliance course.

Enrollment

If you are interested in enrolling in the certificate program, please complete the notice of intent. For questions about the certificate program, contact Professor Felice Batlan at fbatlan@kentlaw.iit.edu.

Discover the Institute for Compliance

Chicago-Kent established the Institute for Compliance in 2011—an institute that increases knowledge of the importance of compliance and prepares students for financial compliance careers. Drawing on the law school's alumni network and the institute's board of advisors who work in compliance—some in very senior positions, Chicago-Kent hosts a series of discussions about careers in compliance for students and alumni.