Ethics & Compliance Law: Culture, Trust, & Program Design

Ethics & Compliance Law: Culture, Trust, & Program Design

This course is part of Ethics and Compliance Law for Business Professionals Specialization

Instructor: University of Illinois College of Law

Included with Learn more

2 modules

Gain insight into a topic and learn the fundamentals.

Beginner level

Recommended experience

1 week to complete

at 10 hours a week

Flexible schedule

Learn at your own pace

2 modules

Gain insight into a topic and learn the fundamentals.

Beginner level

Recommended experience

1 week to complete

at 10 hours a week

Flexible schedule

Learn at your own pace

What you'll learn

Explain how culture, trust, and incentives shape employee behavior and how regulators evaluate a culture of compliance
Apply the DOJ's framework to design a risk-based compliance program with tailored training and effective reporting channels
Evaluate whether a compliance program works using independence, resources, monitoring, auditing, and lessons learned

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Build your subject-matter expertise

This course is part of the Ethics and Compliance Law for Business Professionals Specialization

When you enroll in this course, you'll also be enrolled in this Specialization.

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Gain a foundational understanding of a subject or tool
Develop job-relevant skills with hands-on projects
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There are 2 modules in this course

This course is for professionals who build, manage, or advise on corporate ethics and compliance programs. You will begin with the culture, trust, and behavioral science that determine whether a program works in practice, including how regulators evaluate culture. You will then study the DOJ's framework for effective compliance programs, covering risk assessment, third-party due diligence, the code of conduct, training, and reporting channels. Finally, you will learn how to measure whether a program works through compliance function independence, monitoring, auditing, and continuous improvement.

You will learn how to define a culture of compliance using Schein's three levels of culture, how it differs from simply having a compliance program, and how trust affects whether employees follow rules and report concerns. You will also learn how incentives and ordinary psychology lead decent people toward misconduct, as in the Wells Fargo case, and how tone at the top and mood in the middle shape behavior. In addition, you will learn the financial case for ethical culture, how the DOJ credits culture in enforcement outcomes, and how individual choices build culture.

What's included

10 videos1 reading9 assignments

10 videosTotal 68 minutes

Introduction7 minutes
What Do We Mean by “Culture of Complacency "11 minutes
Trust13 minutes
Why Good People Make Bad Decisions11 minutes
Tone at the Top Tone in the Middle8 minutes
The Business Case for Culture5 minutes
How Regulators Read Culture5 minutes
Your Role as a Culture Carrier3 minutes
Course Roadmap5 minutes
A Message on Your Professional Development Paths1 minute

1 readingTotal 10 minutes

Further Pathways to Expand Your Legal Credentials10 minutes

9 assignmentsTotal 270 minutes

Knowledge Check: Introduction30 minutes
What Do We Mean by “Culture of Complacency "30 minutes
Knowledge Check: Trust30 minutes
Knowledge Check: Why Good People Make Bad Decisions30 minutes
Knowledge Check: Tone at the Top Tone in the Middle30 minutes
Knowledge: The Business Case for Culture30 minutes
Knowledge Check: How Regulators Read Culture30 minutes
Knowledge Check: Your Role as a Culture Carrier30 minutes
Knowledge Check: Course Roadmap30 minutes

You will learn the three questions the DOJ uses to evaluate a corporate compliance program and how the U.S. Sentencing Guidelines define an effective program. You will also learn how to build a program around risk assessment, third-party due diligence, a code of conduct, tailored training, and reporting and non-retaliation systems. In addition, you will learn how to measure whether the program works, including the independence and resources of the compliance function, monitoring and auditing, and continuous improvement.

What's included

8 videos1 reading8 assignments

8 videosTotal 67 minutes

Elements of an Effective Ethics & Compliance Program5 minutes
Risk Assessment7 minutes
Third-Party Due Diligence16 minutes
Policies, the Code of Conduct & the Written Program11 minutes
Training, Communication & Culture9 minutes
Reporting Mechanisms, Investigations & Non-Retaliation8 minutes
Measuring Effectiveness10 minutes
Congratulations and Next Steps2 minutes

1 readingTotal 10 minutes

Further Pathways to Expand Your Legal Credentials10 minutes

8 assignmentsTotal 240 minutes

Confirmation Check30 minutes
Knowledge Check: Elements of an Effective Ethics & Compliance Program30 minutes
Knowledge Check: Risk Assessment30 minutes
Knowledge Check: Third-Party Due Diligence30 minutes
Knowledge Check: Policies, the Code of Conduct & the Written Program30 minutes
Knowledge Check: Training, Communication & Culture30 minutes
Knowledge Check: Reporting Mechanisms, Investigations & Non-Retaliation30 minutes
Knowledge Check: Measuring Effectiveness30 minutes

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Instructor

University of Illinois College of Law

University of Illinois Urbana-Champaign

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Offered by

University of Illinois Urbana-Champaign

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