Effective Compliance Programs

This course is part of Regulatory Compliance Specialization

Instructors: Lauren Steinfeld

What you'll 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

Details to know

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Assessments

10 assignments

Taught in English

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This course is part of the Regulatory Compliance Specialization

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There are 4 modules in this course

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.

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.

What's included

7 videos4 readings2 assignments1 discussion prompt

7 videosTotal 33 minutes

Welcome to the Course1 minutePreview module
Setting the Stage: Origins of Compliance Law3 minutes
The Goal of Compliance Culture: Integrating Compliance Throughout the Organization6 minutes
From “Tone at the Top” to “Compliance at the Core”6 minutes
The Compliance Officer / Responsible Person4 minutes
Independence, Empowerment, and Resources: Part 14 minutes
Independence, Empowerment, and Resources: Part 27 minutes

4 readingsTotal 85 minutes

Pre-Course Survey (Optional)10 minutes
Building a World Class Ethics & Compliance Program25 minutes
A Brief History of Compliance25 minutes
I Called the Wells Fargo Ethics Hotline and was Fired25 minutes

2 assignmentsTotal 15 minutes

Module 1 Quiz10 minutes
The Role of the Compliance Officer5 minutes

1 discussion promptTotal 10 minutes

Introduce Yourself!10 minutes

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.

What's included

10 videos2 readings3 assignments1 discussion prompt

10 videosTotal 38 minutes

The Code of Conduct4 minutesPreview module
Policies, Procedures, and Standards3 minutes
Training2 minutes
Training Sessions4 minutes
Other Information Flows2 minutes
Compliance & Branding3 minutes
Communications with Business Partners2 minutes
Monitoring: Part 13 minutes
Monitoring: Part 28 minutes
Reporting Line3 minutes

2 readingsTotal 90 minutes

18 of the Best Code of Conduct Examples60 minutes
Regulatory Compliance in the Age of Artificial Intelligence30 minutes

3 assignmentsTotal 65 minutes

Module 2 Quiz20 minutes
The Code of Ethics30 minutes
Communication & Information Flows15 minutes

1 discussion promptTotal 30 minutes

Compliance in Your Workplace30 minutes

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.

What's included

23 videos1 reading3 assignments1 discussion prompt

23 videosTotal 40 minutes

Compliance Involves More Than You Think2 minutesPreview module
Why People Do Bad Things4 minutes
The Psychological Aberration or Deviation Theory2 minutes
The Privileged or Entitled Theory1 minute
The Stress and Pressure Theory0 minutes
The Excessive Greed or Excessive Ambition Theory2 minutes
The Cost-Benefit / Risk Reward Theory1 minute
The Lack of Recognition Theory1 minute
The Lack of Self-Control Theory1 minute
The “Everyone is Doing it” or The Virus Theory0 minutes
The “I Could Have Done it Another Way” Theory1 minute
The No Harm Theory1 minute
How to Get People to be Compliant: Psychological Theories of Compliance2 minutes
The Nudge Theory3 minutes
The Punishment / Scare Them Theory1 minute
The Rules / CYA Theory1 minute
The Ubiquity Theory2 minutes
The Reward Me Theory1 minute
The Quid Pro Quo Theory0 minutes
The Bureaucratic Theory1 minute
The Slippery Slope / Broken Windows Theory1 minute
The Target Theory1 minute
The "One Size Doesn't Fit All" Theory0 minutes

1 readingTotal 30 minutes

Why Do They Do It? Inside the Mind of the White-Collar Criminal30 minutes

3 assignmentsTotal 50 minutes

Module 3 Quiz20 minutes
Theories of White Collar Crime15 minutes
Theories of Compliance15 minutes

1 discussion promptTotal 30 minutes

Addressing the Risk of White Collar Crime30 minutes

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.