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.
Ce cours fait partie de la Spécialisation Regulatory Compliance
Effective Compliance Programs
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À propos de ce cours
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Learner Career Outcomes
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Ce que vous allez apprendre
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
Compétences que vous acquerrez
ManagementStrategic PlanningComplianceOrganizational Behavior
Programme du cours : ce que vous apprendrez dans ce cours
Semaine
12 heures pour terminer
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 vidéos (Total 33 min), 4 lectures, 2 quiz
7 vidéos
Setting the Stage: Origins of Compliance Law3 min
The Goal of Compliance Culture: Integrating Compliance Throughout the Organization6 min
From “Tone at the Top” to “Compliance at the Core”6 min
The Compliance Officer / Responsible Person4 min
Independence, Empowerment, and Resources: Part 14 min
Independence, Empowerment, and Resources: Part 27 min
4 lectures
Pre-Course Survey (Optional)10 min
Building a World Class Ethics & Compliance Program25 min
A Brief History of Compliance25 min
I Called the Wells Fargo Ethics Hotline and was Fired25 min
2 exercices pour s'entraîner
The Role of the Compliance Officer5 min
Module 1 Quiz10 min
Semaine
23 heures pour terminer
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 vidéos (Total 39 min), 2 lectures, 3 quiz
10 vidéos
The Code of Conduct4 min
Policies, Procedures, and Standards3 min
Training2 min
Training Sessions4 min
Other Information Flows2 min
Compliance & Branding3 min
Communications with Business Partners2 min
Monitoring: Part 13 min
Monitoring: Part 28 min
Reporting Line3 min
2 lectures
18 of the Best Code of Conduct Examples1 h
Regulatory Compliance in the Age of Artificial Intelligence30 min
3 exercices pour s'entraîner
The Code of Ethics4 min
Communication & Information Flows15 min
Module 2 Quiz20 min
Semaine
33 heures pour terminer
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 vidéos (Total 40 min), 1 lecture, 3 quiz
23 vidéos
Why People Do Bad Things4 min
The Psychological Aberration or Deviation Theory2 min
The Privileged or Entitled Theory1 min
The Stress and Pressure Theory54s
The Excessive Greed or Excessive Ambition Theory2 min
The Cost-Benefit / Risk Reward Theory1 min
The Lack of Recognition Theory1 min
The Lack of Self-Control Theory1 min
The “Everyone is Doing it” or The Virus Theory45s
The “I Could Have Done it Another Way” Theory1 min
The No Harm Theory1 min
How to Get People to be Compliant: Psychological Theories of Compliance2 min
The Nudge Theory3 min
The Punishment / Scare Them Theory1 min
The Rules / CYA Theory1 min
The Ubiquity Theory2 min
The Reward Me Theory1 min
The Quid Pro Quo Theory59s
The Bureaucratic Theory1 min
The Slippery Slope / Broken Windows Theory1 min
The Target Theory1 min
The "One Size Doesn't Fit All" Theory53s
1 lectures
Why Do They Do It? Inside the Mind of the White-Collar Criminal30 min
3 exercices pour s'entraîner
Theories of White Collar Crime15 min
Theories of Compliance15 min
Module 3 Quiz20 min
Semaine
44 heures pour terminer
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 vidéos (Total 24 min), 3 lectures, 3 quiz
6 vidéos
Senior Response Team2 min
Reporting and Other Communication3 min
Enforcing Discipline4 min
Lessons Learned / Root Cause analysis2 min
Table Top Exercises7 min
3 lectures
Data Breach Response30 min
Concluding Thoughts10 min
Post-Course Survey (Optional)10 min
2 exercices pour s'entraîner
Incident Response15 min
Enforcing Discipline15 min
4.9
19 avisMeilleurs avis pour Effective Compliance Programs
The course was very useful for me. I learned a lot about compliance and its important role in business. I definitely will use such a valuable knowledge in my job. Thank you all for your kind work!
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.
Enseignants
Lauren Steinfeld
Lecturer in Law
Andrew Kandel
Lecturer in LawÀ propos de Université de Pennsylvanie
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.
À propos du Spécialisation Regulatory Compliance
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.
Foire Aux Questions
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Lorsque vous vous inscrivez au cours, vous bénéficiez d'un accès à tous les cours de la Spécialisation, et vous obtenez un Certificat lorsque vous avez réussi. Votre Certificat électronique est alors ajouté à votre page Accomplissements. À partir de cette page, vous pouvez imprimer votre Certificat ou l'ajouter à votre profil LinkedIn. Si vous souhaitez seulement lire et visualiser le contenu du cours, vous pouvez accéder gratuitement au cours en tant qu'auditeur libre.
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