Compliance Specialist Certificate
College of Professional Studies
Division of Justice Studies
2009-2010 Catalog Year
What is a Compliance Specialist?
The compliance Specialist works in the organization's Compliance Program to determine whether business operations comply with laws and rules. The Compliance Specialist Program covers the theory, process, and practice of compliance issues, and stresses: (1) an understanding of ethics, laws, and regulations; (2) familiarity with business operations and systems; (3) skills to interview and investigate; (4) knowledge of forensic audit skills to review documents and write reports, and (5) the interpersonal skills to work with management, meet with Board members and regulators.
Who Should Attend
- Persons seeking a new career.
- Persons whose professional experience is especially transferable to a career in compliance, such as: healthcare/public administration, allied health professionals, law enforcement/criminal justice, law/paralegal, human resources, accounting, environmental and general business.
- Persons who want to sharpen their skills in compliance-related positions, such as internal audit and risk management/loss prevention.
Program Admission Requirements
- Submission of a FGCU Post-Baccalaureate Non-Degree Application to the Office of Graduate Admissions.
- Graduation from a baccalaureate level program from a regionally accredited institution documented by official transcripts.
Applicants may apply for fall or spring admission. These courses are offered on-line as well as on weekends in intensive sessions and require additional fees/costs. Students who desire to apply the compliance courses toward the master's degree should be aware of limitations regarding acceptance of coursework earned while in non-degree-seeking status. For more information please contact Dr. Barringer at 239-590-7849 or tbarring@fgcu.edu.
Program Requirements
Required Courses (15 hrs)
- HSA 5425 Regulation of Medical Industry (3)
- CJL 5021 Compliance Ethics & Control (3)
- CJL 5087 Regulation of Business Conduct (3)
- CCJ 6197 Interviewing & Investigation (3)
- CJE 6429 Forensic Financial Investigation (3)
This 15 credit certificate course consists of five core courses. While no particular substantive knowledge or background is required, students entering this Program will likely have relevant professional/educational training and/or experience. Thus, the curriculum builds upon student knowledge gained from pre-existing experience, and offers the opportunity of advanced coursework from several disciplines. There are no prerequisites in the program.
The following are the required courses:
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Regulation of Medical Industry
Acquaints students with laws regulating the healthcare market-place. Explores federal and state regulations bearing upon health-care transactions and practices as well as risk identification requiring analysis and corrective actions.
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Compliance Ethics and Controls
Covers legal/operational issues arising as entities conduct self-re-views, internal investigations and self-disclosure. Focuses upon typical compliance plan organization, operations and on-going "compliance assurance reviews". - Regulation of Business Conduct
Explores core elements of business regulation. Topics include practical legal restrictions/penalties for non-compliance, ethical decision-making and avoidance of liability. Focuses upon compliance-related regulatory and disclosure rules and laws applicable to public companies, private entities, not-for-profit entities and municipalities. - Interviewing and Investigation
Examines methodologies for internal investigations such as work plan development, interviewing methods, presentation of evidence, organization and review of records during routine compliance re-views and targeted "root cause analysis". - Forensic Financial Investigation
Prepares students to apply methods of discovering irregularities in book and records. Focuses upon financial investigative techniques for tracing funds transfers, verification of paper record trails, testing, extrapolation formulas used to calculate overpayments, etc.