Prof. Devt. in Compliance

Certified online professional training, live discussions in classes of up to 25 students, and close guidance by a professor with broad professional and academic experience. Learn compliance by taking a Master's program course as a nondegree-seeking student.

10 hours of recorded classes
20 hours of live encounters
20 hours of reading
45 hours of practical activities

from February 13 to
April 23, 2023
(10 weeks)

online professional training with live encounters in classes of 25 students

professor com ampla experiência profissional


2 options of investment: Live Training or Certificate of Expert

This is not another massive online course of recorded classes or live classes broadcasted to enormous classes

Here you will get:

10 live

Throughout the ten weeks of the course, you will have at least one live group encounter per week.

Classes of
up to 25 students

We limit our classes to up to 25 students to guarantee high-level and personalized discussions.

direct access to the professor

The professional training professor conducts the live encounters, answers your questions, and grades your coursework.


Michael Hogan, JD.
Chief Compliance Officer at Charles Schwab Investment Mgmt, Managing Director at Charles Schwab & Co. and US attorney; over 35 years of experience in the global financial industry in the areas of compliance, risk management, banking, and legal at companies such as Brown Brothers Harriman & Co., Wellington Management Company LLP, and Charles Schwab; Juris Doctor from Suffolk University Law School, MA from Lindenwood University and BA from Bates College; holds the FINRA Series 7 license.

Course content

  1. Introduction
  2. Examples of problematic behaviors
  3. Compliance and business processes
  4. The intersection of rules and ethical behavior
  1. Early compliance programs
  2. Conflicts of interest
    COSO as a model and driver
  3. Seven characteristics of an effective compliance program
    1. Written policies and procedures
    2. Designated compliance officer and compliance committee
    3. Effective training and education
    4. Effective lines of communication
    5. Internal monitoring and auditing
    6. Enforcement of standards through well-publicized disciplinary guidelines
    7. Prompt response to problems through corrective actions
  1. A review of the key components
  2. Policies and procedures
  3. Risk assessment
  4. Surveillance and monitoring
  5. Training
  1. Anti-money laundering and criminal activity
  2. Foreign Corrupt Practices Act
  3. Material non-public information
  4. Privacy protections
  5. Whistleblower protections
  1. The board of directors
  2. Executive management
  3. The chief compliance officer
  4. Employees
  5. U.S. sentencing guidelines
  1. Investment Company and Investment Adviser Compliance Programs
  2. FINRA CEO annual compliance certification
  3. Pharmaceutical Company Compliance
  4. Title IX Compliance
  5. FCPA
  1. Conclusion and summary

Tuition Options

Live Training

Access the content, watch the classes,
participate in the live sessions, and
receive a certificate of completion.
$ 597
00 1 installment

Certificate of Expert

Participate in the practical activities,
make sure you are proficient, and
receive a certificate of expert.
$ 897
00 1 installment

* In the Certificate of Expert option, the certificate of completion is issued only for students who eventually do not receive a passing grade in the graded practical activities.

How to enroll?


Apply to one
of the 25 seats.


Study for one week
with no financial risk.

*Only for those accepted in the application process.


Complete the professional training online from your home in your schedule.


Important dates

Live sessions

Practical activities*

* Applicable only to students enrolled in the Certificate of Expert option.

Offered by

Licensing and Accreditation

American university licensed by the
Commission for Independent Education
Florida Department of Education
(license CIE-4001)


We have been in the market for over fourteen years, providing premium distance education.


90% of classes at Ambra University have from 10 to 20 students.


Yes. In the Live Training option, the student receives a digital certificate of completion (click here to see the certificate of completion).

In the Certificate of Expert option, students who achieve a passing grade in the practical activities receive a digital Certificate of Expert (click here to see the Certificate of Expert). If the student of the Certificate of Expert option does not achieve a passing grade in the practical activities, they will receive a certificate of completion.

A professional training is a short-term, high-level online course that combines content exposure with individualized instruction and guidance aimed at professional development and updating.

No. This is not a graduate program or graduate certificate but a continuing education course aiming at professional development and updating.

Should you be interested in a graduate program, please check out the options of master's programs offered by Ambra University.

This professional training is offered entirely in English.

Yes, you will have access to the content of your edition of the professional training for one year from the first day of classes.

Yes, it is necessary to have completed a bachelor's degree to apply for the Live Training or the Certificate of Expert options.

Yes, there is an application process for the Live Training and Certificate of Expert options. It is necessary to submit digital copies of admission documents and fill in the admission form. In addition, at Ambra's discretion, it may be required to interview via Webconference.

You will need to send us scanned copies of the following documents for the Live Training and Certificate of Expert options:

- Government photo ID
- Completed admission form – template provided by Ambra.

No. Although the acceptance of credits is a decision of the institution receiving the credits, the student should not expect to transfer the professional training hours to any other course or program.

The Certificate of Expert practical work is evaluated in two types of activities: a written paper of 15 to 30 pages and a debate or oral presentation.

Those approved in the application process start the course and have up to 1 week to cancel their enrollment and receive a full refund of all amounts paid for the training.

No cancellations are accepted after the first week of classes. 

It is possible to cancel your enrollment during the entire first week of professional training and receive a refund of all amounts paid.

After the first week, it is no longer possible to cancel enrollment in the professional training, and there are no options to suspend the activities.

No. As the course count on the professor's supervision, the professor will only be available during the ten weeks of the training, and the live sessions will only take place on the pre-scheduled dates and times.

To find out the dates and times of the live sessions, check out the application process rules or contact Ambra.

The Live Training option has a total of 50 hours, therefore approximately 5 hours per week.

A opção de Certificação de Expert requer, além das 50 horas de Live Training, adicionais 45 horas de atividades avaliativas, totalizando 95 horas. Portanto, aproximadamente 10 horas por semana ao longo das 10 semanas da formação.

In one installment with a credit card.

Payments must be made before the class start date.

You will sign up for a continuing education course at Ambra University with no enrollment link to any degree program.

You will have access to all course content and recordings for one year from the training start date. For example, for a course that started on February 13, 2023, you will have access to the content until February 12, 2024.

In the Certificate of Expert option, you must participate in live sessions with graded activities, such as oral presentations or case debates, depending on the training. The day and time of these sessions must be pre-scheduled in the first weeks of the training within the options available in the schedule. The other live sessions are optional; you can watch the recording if you cannot attend them live.

In the Live Training option, students are free to participate or not in any live session.


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