Corporate & Regulatory Compliance Certificate (JD)

UConn School of Law, in partnership with the School of Business, offers a certificate in Corporate and Regulatory Compliance for professionals interested in careers in compliance, ethics, internal monitoring, regulatory affairs and related areas. The program is open to JD candidates at the School of Law, those who hold a JD from another institution and non-legal professionals who hold at least a bachelor’s degree. Successful graduates will gain a portfolio of skills at the intersection of law and management to lead effective compliance programs and to build organizational cultures that encourage ethical conduct and a commitment to compliance. Admissions for current JD candidates at the School of Law is managed by the law school registrar. For all other applicants, admissions is centralized at the School of Business.


The certificate in Corporate and Regulatory Compliance requires course work at both the Law School and the School of Business at the university's downtown Hartford campus. JD Candidates are strongly encouraged to take either Business Organizations or Administrative Law prior to embarking on the certificate. The certificate requires successful completion of 12 credits, including three required courses and one elective, as follows:

Required Courses

Note: Students are strongly encouraged to take LAW 7554 – Compliance: The Legal Perspective before taking the other required courses as it provides an essential overview of the field.  LAW 7553 – Compliance Systems, Case Studies in is a capstone course, best taken near a student’s conclusion of studies.

Elective Courses

Certificate candidates may select one course from either the Law Courses or the Business Courses list to fulfill the 3 credit elective requirement. JD Candidates may petition the Program Director to request an alternate law course, with a requisite regulatory component, be used to satisfy the elective requirement.

Law Courses:
Business Courses:
  • MGMT5138 - Managing Organizations
  • ACCT5121 - Financial Accounting & Reporting
  • FNCE5151 - Introduction to Economic Markets
  • BLAW5220 - Employment Law
  • BLAW5660 - International Business Law
  • BLAW5680 - Securities Law
  • MGMT5223 - Organization Development & Managing Change*
  • MKTG5115 - Marketing Management
  • OPIM5165 - Management Information Systems
  • OPIM5177 - Enterprise Security, Governance And Audit*
  • OPIM5604 - Predictive Modeling**
* By permission of the instructor
** By permission of the instructor; formal background in statistics required.

The certificate is open to all JD students. Prior to graduating, you must submit the Certificate Studies, Intention to Participate Form form to the registrar’s office.


Professor Peter Lindseth