Financial Services
The Certificate of Completion (CCL) in Financial Services builds the industry knowledge and skills for individuals to prepare for careers in Financial Services. This CCL will introduce students new to or interested in financial services to the fundamental concepts of capital markets, types of products and their risks, trading, customer accounts, prohibited activities, and regulatory agencies and their functions. Students with the requisite experience in the field who complete this CCL can pursue employment in a variety of security industry jobs. This CCL also helps to prepare students for the Financial Industry Regulatory Authority (FINRA) Securities Industry Essentials (SIE). A Certificate of Completion (CCL) and Associate in Applied Science (AAS) in Banking and Finance are also available.
Details
Field of Interest
Business, Entrepreneurialism and Management
Degree Type
Certificate of Completion (CCL)
Academic Plan
Financial Services (CER)
Academic Plan Code
5907
Total credits required
16
Catalog Year
2024-2025
Effective Term
Fall 2024
Notes
Students must earn a grade of C or better in all courses within the program.
This Certificate of Completion (CCL) is intended for current or prospective securities industry professionals who are interested in expanding their knowledge in the area of financial securities to enhance their employment opportunities.
What You'll Learn
- Analyze risks, rewards, and tax benefits associated with various types of investments, alternative investments, and securities to meet client goals. (GBS120, GBS151, GBS261, GBS261LL, MGT126)
- Demonstrate knowledge of market mechanics including participants, economic factors, and regulations as they apply to capital markets. (GBS151, GBS261, GBS261LL)
- Identify trading mechanics and corporate actions. (GBS261, GBS261LL)
- Explain the purpose, registration, distribution, and filing requirements of various types of offerings. (GBS261, GBS261LL)
- Describe the regulations, rules, and prohibitive actions related to the securities industry. (GBS151, GBS261, GBS261LL)
- Analyze the impact of monetary policy and regulation on business activity, stability in the securities market, and the economy. (GBS151, GBS261, GBS261LL)
- Evaluate investments using a variety of sources and analysis factors. (GBS151, GBS261, GBS261LL)
- Demonstrate professional behavior in accordance with industry standards. (GBS120, GBS151, GBS261, GBS261LL, MGT126, MKT267, MKT271)
- Integrate ethical responsibility in decision making. (GBS120, GBS151, GBS261, GBS261LL, MKT267, MKT271)
- Demonstrate service oriented communication skills. (GBS120, GBS261, GBS261LL, MGT126, MKT267, MKT271)
- Use constructive feedback to improve performance. (GBS120, GBS261, GBS261LL, MGT126, MKT267, MKT271)
Career statistics
Successful completion of this certificate may lead to employment in a variety of different occupations and industries. Below are examples of related occupations with associated Arizona-based wages* for this certificate. Education requirements vary for the occupations listed below, so you may need further education or degrees in order to qualify for some of these jobs and earn the related salaries. Please visit with an academic advisor and/or program director for additional information. You can click on any occupation to view the detail regarding education level, wages, and employment information.
Securities, Commodities, and Financial Services Sales Agents
$63,870 Show expanded career information for Securities, Commodities, and Financial Services Sales Agents
* Career and wage information provided by Pipeline AZ using data, reports, and forecasts which are generated using government data sources. Sources
Course Sequence by Term
The following is the suggested course sequence by term. Please keep in mind:
- Students should meet with an academic advisor to develop an individual education plan that meets their academic and career goals. Use the Degree Progress Report Tool in your Student Center to manage your plan.
- The course sequence is laid out by suggested term and may be affected when students enter the program at different times of the year.
- Initial course placement is determined by current district placement measures and/or completion of 100-200 level course and/or program requirements.
- Degree and transfer seeking students may be required to successfully complete a MCCCD First Year Experience Course (FYE) within the first two semesters at a MCCCD College. Courses include FYE101 and FYE103. Course offerings will vary by college. See an academic, program, or faculty advisor for details.
Full-time Sequence
Full-time status is 12 credits to 18 credits per semester.
Term 1
| Course Number | Course Name | Requisites | Notes | Credits |
|---|---|---|---|---|
| GBS120 | Workplace Communication Skills | 3 | ||
| GBS151 | Introduction to Business | Gateway course | 3 | |
| GBS261 | Investments I | Critical course | 3 | |
| GBS261LL | Securities Industry Essentials (SIE) Exam Prep | 1 | ||
| MGT126 | Customer Service Skills and Strategies | 3 | ||
| MKT267 or MKT271 |
Principles of Sales or Principles of Marketing | 3 |
Part-time Sequence
Part-time status is 11 credit hours or less.
Term 1
| Course Number | Course Name | Requisites | Notes | Credits |
|---|---|---|---|---|
| GBS120 | Workplace Communication Skills | 3 | ||
| GBS151 | Introduction to Business | Gateway course | 3 |
Term 2
| Course Number | Course Name | Requisites | Notes | Credits |
|---|---|---|---|---|
| GBS261 | Investments I | Critical course | 3 | |
| GBS261LL | Securities Industry Essentials (SIE) Exam Prep | 1 |
Term 3
| Course Number | Course Name | Requisites | Notes | Credits |
|---|---|---|---|---|
| MGT126 | Customer Service Skills and Strategies | 3 | ||
| MKT267 or MKT271 |
Principles of Sales or Principles of Marketing | 3 |
Course Area Key
Gateway Course = Generally the first major-specific course in a pathway.
Critical Course = A course that is highly predictive of future success in a pathway.
Disclaimer
Students must earn a grade of C or better in all courses within the program.
Course Sequence total credits may differ from the program information located on the MCCCD curriculum website due to program and system design.
View MCCCD’s official curriculum documentation for additional details regarding the requirements of this award (https://aztransmac2.asu.edu/cgi-bin/WebObjects/MCCCD.woa/wa/freeForm11?id=183159).
At Maricopa, we strive to provide you with accurate and current information about our degree and certificate offerings. Due to the dynamic nature of the curriculum process, course and program information is subject to change. As a result, the course list associated with this degree or certificate on this site does not represent a contract, nor does it guarantee course availability. If you are interested in pursuing this degree or certificate, we encourage you to meet with an advisor to discuss the requirements at your college for the appropriate catalog year.