This course is part of the Regulatory Compliance Specialization

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Regulatory Compliance SpecializationUniversity of Pennsylvania

About this Course

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Compliance isn’t only about preventing problems and ensuring that everyone is abiding by laws, rules, and regulations.  It’s also about the positive impact a robust and ethical compliance program can have on a business or organization.
In this course we will discuss why compliance is important – from the needs facing businesses in highly regulated industries to avoiding fines and penalties to preventing reputational and economic nightmares. We’ll examine real-world examples of compliance and governance failures and their impact, and consider strategies for avoiding similar situations in our own organizations. You’ll be able to think about risk management in new ways and apply strategies to manage it.

Flexible deadlines

Reset deadlines in accordance to your schedule.

Shareable Certificate

Earn a Certificate upon completion

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Course 1 of 4 in the

Regulatory Compliance Specialization

Approx. 11 hours to complete

English

Subtitles: French, Ukrainian, Portuguese (European), Russian, English, Spanish

What you will learn

Define compliance within an industry setting
Describe the ways in which compliance affects any industry, company, or organization
Identify the reasons industries, companies, and organizations should engage in compliance
Examine the importance of compliance in supporting the financial, reputational, and functional aspects of an industry, company, or organization

Skills you will gain

Risk Management
Brand Management
Strategic Planning
Compliance

Flexible deadlines

Reset deadlines in accordance to your schedule.

Shareable Certificate

Earn a Certificate upon completion

100% online

Start instantly and learn at your own schedule.

Course 1 of 4 in the

Regulatory Compliance Specialization

Approx. 11 hours to complete

English

Subtitles: French, Ukrainian, Portuguese (European), Russian, English, Spanish

Instructors

Instructor rating

4.91/5 (260 Ratings)

Andrew Kandel
Top Instructor

Lecturer in Law

26,650 Learners

3 Courses

Lauren Steinfeld
Top Instructor

Lecturer in Law

34,136 Learners

4 Courses

Offered by

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.

Syllabus - What you will learn from this course

Content Rating97%(3,966 ratings)

Week

Week 1

3 hours to complete

What is compliance?

What is compliance and why is it important? In this module, we answer those questions while also looking at some recent high-profile cases of non-compliance in the business world.

3 hours to complete

8 videos (Total 36 min), 3 readings, 2 quizzes

8 videos

Welcome to the Course2m

Defining Compliance5m

Making Rules "Stick"5m

Knowing the Rules5m

Case Study: Enron's Systemic Compliance Failures (Part 1)4m

Case Study: Enron's Systemic Compliance Failures (Part 2)5m

Case Studies: The "One Guy" Problem4m

Module 1 Summary3m

3 readings

Pre-Course Survey (Optional)10m

What Is Compliance?20m

Enron Scandal: The Fall of a Wall Street Darling25m

2 practice exercises

Making Rules "Stick"30m

Module 1 Quiz15m

Week

Week 2

3 hours to complete

Why is Compliance Important?

Non-compliance can have massive real-world implications for the general public, not just individuals directly related to a non-compliant company. In this module, we examine laws that specifically create compliance obligations, as well as the potential costs of non-compliance.

3 hours to complete

6 videos (Total 23 min), 1 reading, 4 quizzes

6 videos

Obligations are Numerous, Pervasive and Varied4m

The Demands of a Settlement Agreement3m

The Board of Directors Has a Fiduciary Duty5m

Avoiding Reputational Harm3m

The Indispensable and Positive Value of Compliance4m

Module 2 Recap57s

1 reading

Avoiding Fines and Penalties45m

4 practice exercises

Is It a Financial Driver?30m

The Board of Directors' Duties30m

The Positive Values of Compliance30m

Module 2 Quiz20m

Week

Week 3

2 hours to complete

Compliance & Risk

Every company and organization must deal with risk, and compliance is ultimately a vehicle to mitigate risk. This module explores the close relationship between compliance and risk management. We will analyze the ways in which compliance programs manage risk, as well as alternative forms of risk management.

2 hours to complete

5 videos (Total 17 min), 2 readings, 2 quizzes

Week

Week 4

3 hours to complete

Developments in the Field of Compliance

This module highlights developments in the ever-evolving world of compliance, with special emphasis on recent trends in regulatory focus.

3 hours to complete

3 videos (Total 14 min), 3 readings, 2 quizzes

Reviews

4.8

200 reviews

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2 stars
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TOP REVIEWS FROM WHAT IS COMPLIANCE?

by DSJul 21, 2020

Very informative course with real occurrences as examples! I highly recommend this course! The instructors are very knowledgeable!

by SRDec 4, 2019

Lecturers are just amazing. Readings are interesting and related to the course.\n\nQuestions are helpful\n\nCourse is pretty simple thou

by YWApr 29, 2020

This course answers all the questions i had in mind before begining the course. Learnt a lot and will continue building on what i have learnt thus far. Great Course.

by KSJan 14, 2021

This is a great intro level course. The videos are of very high quality. The case studies and reading given was very interesting to read. I actually had a lot of fun completing this.

View all reviews

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?
Access to lectures and assignments depends on your type of enrollment. If you take a course in audit mode, you will be able to see most course materials for free. To access graded assignments and to earn a Certificate, you will need to purchase the Certificate experience, during or after your audit. If you don't see the audit option:
The course may not offer an audit option. You can try a Free Trial instead, or apply for Financial Aid.
The course may offer 'Full Course, No Certificate' instead. This option lets you see all course materials, submit required assessments, and get a final grade. This also means that you will not be able to purchase a Certificate experience.
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.
Is financial aid available?
Yes. In select learning programs, you can apply for financial aid or a scholarship if you can’t afford the enrollment fee. If fin aid or scholarship is available for your learning program selection, you’ll find a link to apply on the description page.

More questions? Visit the Learner Help Center.

What is Compliance?