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Mutual Fund Compliance Professionals

Unions and Associations

Mutual fund compliance professionals are not members of unions. There are three main professional organizations for those work in compliance: Regulatory Compliance Association (RCA), Society of Corporate Compliance and Ethics (SCCE), and International Compliance Association (ICA). The RCA provides membership, certification (chartered regulatory counsel), and professional development opportunities. It has more than 78,000 members. The SCCE offers continues education classes, provides membership for students and practicing compliance professionals, hosts an annual Compliance & Ethics Institute, and awards several certification credentials. The ICA offers membership and a variety of certificate and diploma programs. Additionally, the Securities Industry and Financial Markets Association—which represents the interests of securities firms, banks, and asset managers—has a Compliance and Legal Society for individual members. Other noteworthy organizations include the Investment Company Institute International and the Investment Funds Association.

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