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The Osgoode Certificate in Regulatory Compliance and Legal Risk Management for Financial Institutions

The Osgoode Certificate in Regulatory Compliance and Legal Risk Management for Financial Institutions

Issued on 24 Apr 2026 by

Osgoode Professional Development, York University

Osgoode Professional Development, York University

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Canadian financial institutions face an increasingly complex regulatory web as regulators in Canada and globally are imposing greater pressures to assess, monitor and mitigate regulatory and operational risks. In addition to staying compliant, today’s financial institutions need to keep up with new regulations, deal with new issues – including those created by remote work and emerging technologies – and manage the human resources and technological requirements to get the job done. The speed of change is rapid and the demands are increasing. Designed by a select group of industry leaders, this unique and intensive Osgoode certificate will provide you with a comprehensive understanding of crucial regulatory compliance requirements, the intersection of compliance and enterprise risk management in financial services and the practical strategies you need to meet them. Over five modules, you will learn from industry experts and major regulators and get the practical knowledge and skills you need to effectively assess, monitor and mitigate regulatory and operational risks. With a focus on real-world examples, you will take your learning to the next level and emerge equipped with the most up-to-date knowledge, tools and tactics you need to develop, implement or re-energize a state-of-the-art compliance program, along with insights into rapidly evolving compliance issues and trends.

Issuer

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Osgoode Professional Development, York University

cpd@osgoode.yorku.ca

Osgoode Professional Development is the lifelong learning arm of Osgoode Hall Law School, one of Canada’s leading law schools.

We provide a uniquely broad and flexible range of interdisciplinary graduate-level legal education to professionals with and without law degrees.

Criteria

What You’ll Learn

  1. Fundamentals of regulatory compliance for financial institutions

  2. How to effectively identify, mitigate and control risks

  3. Essential components of an effective compliance program

  4. How major regulators and authorities regulate and supervise (objectives, powers and responsibilities), and tips for dealing with them effectively

  5. Correlations between governance, risk management and compliance (GRC)

  6. How to become an effective partner and energize your organization

  7. Strategies for implementing a code of business conduct and ethics

  8. Techniques for managing a regulatory examination, investigation and incident

  9. Best practices for crisis management and response

  10. Strategies for managing high risk issues

  11. How to manage industry disruptors like data analytics, bitcoin, blockchain and fintech and other unregulated financial services players

  12. What you need to do to prepare for emerging challenges impacting compliance professionals

  13. Impact of international standard setting organizations

Assessment Criteria

In order to obtain the Certificate, the learner must:

  1. complete/attend all modules;
  2. view all online primers; and
  3. successfully complete an online assessment, obtaining at least 80%.

Estimated learning effort

Approximately 35 hours of learning effort, spread over multiple weeks.

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