Once you have an understanding of what compliance is, and why it may be important, it is natural to wonder next, “What should I do about it?” In this course, we’ll explore one of the key factors for creating a positive culture of compliance: human psychology. We’ll think about what drives us, what makes us pay attention, what distracts, and how all of these pieces help build a strong belief in an organizational culture of compliance. We will examine formal compliance programs, diving into the nuances of how they are applied in practice. We’ll also explore the technologies, workflows, policies, monitoring, and training necessary to create a toolkit for designing an effective compliance program.
This course is part of the Regulatory Compliance Specialization
Effective Compliance Programs
Offered By
About this Course
23,103 recent views
Learners taking this Course are
- Lawyers
- Paralegals
- Chief Financial Officers (CFOs)
- Risk Managers
- Associates
What you will learn
Recognize strategies for building a culture of compliance within an organization
Identify the fundamental components of a compliance program
Identify techniques and methods for compliance management and provide psychological theories that explain why they are effective
Devise strategies for managing noncompliance and incident response
Skills you will gain
ManagementStrategic PlanningComplianceOrganizational Behavior
Syllabus - What you will learn from this course
Week
12 hours to complete
Building a Strong Compliance Culture
How do you actually implement a culture of compliance? This module looks at the key building blocks necessary to foster a culture of compliance within any organization.
7 videos (Total 33 min), 4 readings, 2 quizzes
7 videos
Setting the Stage: Origins of Compliance Law3m
The Goal of Compliance Culture: Integrating Compliance Throughout the Organization6m
From “Tone at the Top” to “Compliance at the Core”6m
The Compliance Officer / Responsible Person4m
Independence, Empowerment, and Resources: Part 14m
Independence, Empowerment, and Resources: Part 27m
4 readings
Pre-Course Survey (Optional)10m
Building a World Class Ethics & Compliance Program25m
A Brief History of Compliance25m
I Called the Wells Fargo Ethics Hotline and was Fired25m
2 practice exercises
The Role of the Compliance Officer5m
Module 1 Quiz10m
Week
23 hours to complete
A Closer Look at the Essentials
Once the foundations of a strong compliance culture are in place, how do you disseminate that culture throughout an organization? This module examines the policies, procedures, and trainings necessary to create a compliant culture throughout an organization.
10 videos (Total 39 min), 2 readings, 3 quizzes
10 videos
Policies, Procedures, and Standards3m
Training2m
Training Sessions4m
Other Information Flows2m
Compliance & Branding3m
Communications with Business Partners2m
Monitoring: Part 13m
Monitoring: Part 28m
Reporting Line3m
2 readings
18 of the Best Code of Conduct Examples1h
Regulatory Compliance in the Age of Artificial Intelligence30m
3 practice exercises
The Code of Ethics4m
Communication & Information Flows15m
Module 2 Quiz20m
Week
33 hours to complete
The Psychology of Compliance
Compliance, at its heart, is a response to a human problem. If rules were enough, compliance and enforcement wouldn't exist. This module explores the psychology behind why non-compliance happens and strategies for getting people to comply.
23 videos (Total 40 min), 1 reading, 3 quizzes
23 videos
Why People Do Bad Things4m
The Psychological Aberration or Deviation Theory2m
The Privileged or Entitled Theory1m
The Stress and Pressure Theory54s
The Excessive Greed or Excessive Ambition Theory2m
The Cost-Benefit / Risk Reward Theory1m
The Lack of Recognition Theory1m
The Lack of Self-Control Theory1m
The “Everyone is Doing it” or The Virus Theory45s
The “I Could Have Done it Another Way” Theory1m
The No Harm Theory1m
How to Get People to be Compliant: Psychological Theories of Compliance2m
The Nudge Theory3m
The Punishment / Scare Them Theory1m
The Rules / CYA Theory1m
The Ubiquity Theory2m
The Reward Me Theory1m
The Quid Pro Quo Theory59s
The Bureaucratic Theory1m
The Slippery Slope / Broken Windows Theory1m
The Target Theory1m
The "One Size Doesn't Fit All" Theory53s
1 reading
Why Do They Do It? Inside the Mind of the White-Collar Criminal30m
3 practice exercises
Theories of White Collar Crime15m
Theories of Compliance15m
Module 3 Quiz20m
Week
44 hours to complete
Dealing With Non-Compliance
Even in organizations with top-notch compliance programs, non-compliance is as inevitable as death and taxes. This module explores strategies for dealing with non-compliance.
6 videos (Total 24 min), 3 readings, 3 quizzes
6 videos
Senior Response Team2m
Reporting and Other Communication3m
Enforcing Discipline4m
Lessons Learned / Root Cause analysis2m
Table Top Exercises7m
3 readings
Data Breach Response30m
Concluding Thoughts10m
Post-Course Survey (Optional)10m
2 practice exercises
Incident Response15m
Enforcing Discipline15m
4.9
16 Reviews33%
got a tangible career benefit from this course
Top reviews from Effective Compliance Programs
This is a great class. This series provides a wonderful foundation for the many aspects of compliance and how to develop and enforce a program.
Content was interisting. I really approciate listening the lectures. Both teachers are so clear and objective.
Instructors
Lauren Steinfeld
Lecturer in Law
Andrew Kandel
Lecturer in LawAbout University of Pennsylvania
The University of Pennsylvania (commonly referred to as Penn) is a private university, located in Philadelphia, Pennsylvania, United States. A member of the Ivy League, Penn is the fourth-oldest institution of higher education in the United States, and considers itself to be the first university in the United States with both undergraduate and graduate studies.
About the Regulatory Compliance Specialization
Every organization faces a myriad of risks that can threaten its operations, reputation, and bottom line. A robust, effective compliance program can make the difference between companies that successfully navigate those risks, and those that become cautionary tales.
This specialization will introduce the essential elements of effective organizational compliance by exploring the concepts, considerations, and strategies for assessing risks and managing the compliance function. You will learn the fundamental principles of effective compliance, the components of an effective compliance program and their applications, and then closely examine two of the most important areas of compliance in today’s business climate: privacy compliance, and anti-corruption. The insights from this program will be applicable to a wide range of different types of organizations, from private companies to non-profits.
Frequently Asked Questions
When will I have access to the lectures and assignments?
Once you enroll for a Certificate, you’ll have access to all videos, quizzes, and programming assignments (if applicable). Peer review assignments can only be submitted and reviewed once your session has begun. If you choose to explore the course without purchasing, you may not be able to access certain assignments.
What will I get if I subscribe to this Specialization?
When you enroll in the course, you get access to all of the courses in the Specialization, and you earn a certificate when you complete the work. Your electronic Certificate will be added to your Accomplishments page - from there, you can print your Certificate or add it to your LinkedIn profile. If you only want to read and view the course content, you can audit the course for free.
What is the refund policy?
Is financial aid available?
More questions? Visit the Learner Help Center.
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