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.
Этот курс входит в специализацию ''Специализация Regulatory Compliance'
Effective Compliance Programs
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Чему вы научитесь
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
Приобретаемые навыки
ManagementStrategic PlanningComplianceOrganizational Behavior
Программа курса: что вы изучите
Неделя
12 ч. на завершение
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 видео ((всего 33 мин.)), 4 материалов для самостоятельного изучения, 2 тестов
7 видео
Setting the Stage: Origins of Compliance Law3мин
The Goal of Compliance Culture: Integrating Compliance Throughout the Organization6мин
From “Tone at the Top” to “Compliance at the Core”6мин
The Compliance Officer / Responsible Person4мин
Independence, Empowerment, and Resources: Part 14мин
Independence, Empowerment, and Resources: Part 27мин
4 материала для самостоятельного изучения
Pre-Course Survey (Optional)10мин
Building a World Class Ethics & Compliance Program25мин
A Brief History of Compliance25мин
I Called the Wells Fargo Ethics Hotline and was Fired25мин
2 практического упражнения
The Role of the Compliance Officer5мин
Module 1 Quiz10мин
Неделя
23 ч. на завершение
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 видео ((всего 39 мин.)), 2 материалов для самостоятельного изучения, 3 тестов
10 видео
Policies, Procedures, and Standards3мин
Training2мин
Training Sessions4мин
Other Information Flows2мин
Compliance & Branding3мин
Communications with Business Partners2мин
Monitoring: Part 13мин
Monitoring: Part 28мин
Reporting Line3мин
2 материала для самостоятельного изучения
18 of the Best Code of Conduct Examples1ч
Regulatory Compliance in the Age of Artificial Intelligence30мин
3 практического упражнения
The Code of Ethics4мин
Communication & Information Flows15мин
Module 2 Quiz20мин
Неделя
33 ч. на завершение
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 видео ((всего 40 мин.)), 1 материал для самостоятельного изучения, 3 тестов
23 видео
Why People Do Bad Things4мин
The Psychological Aberration or Deviation Theory2мин
The Privileged or Entitled Theory1мин
The Stress and Pressure Theory54
The Excessive Greed or Excessive Ambition Theory2мин
The Cost-Benefit / Risk Reward Theory1мин
The Lack of Recognition Theory1мин
The Lack of Self-Control Theory1мин
The “Everyone is Doing it” or The Virus Theory45
The “I Could Have Done it Another Way” Theory1мин
The No Harm Theory1мин
How to Get People to be Compliant: Psychological Theories of Compliance2мин
The Nudge Theory3мин
The Punishment / Scare Them Theory1мин
The Rules / CYA Theory1мин
The Ubiquity Theory2мин
The Reward Me Theory1мин
The Quid Pro Quo Theory59
The Bureaucratic Theory1мин
The Slippery Slope / Broken Windows Theory1мин
The Target Theory1мин
The "One Size Doesn't Fit All" Theory53
1 материал для самостоятельного изучения
Why Do They Do It? Inside the Mind of the White-Collar Criminal30мин
3 практического упражнения
Theories of White Collar Crime15мин
Theories of Compliance15мин
Module 3 Quiz20мин
Неделя
44 ч. на завершение
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 видео ((всего 24 мин.)), 3 материалов для самостоятельного изучения, 3 тестов
6 видео
Senior Response Team2мин
Reporting and Other Communication3мин
Enforcing Discipline4мин
Lessons Learned / Root Cause analysis2мин
Table Top Exercises7мин
3 материала для самостоятельного изучения
Data Breach Response30мин
Concluding Thoughts10мин
Post-Course Survey (Optional)10мин
2 практического упражнения
Incident Response15мин
Enforcing Discipline15мин
4.9
Рецензии: 1933%
получил значимые преимущества в карьере благодаря этому курсу
Лучшие отзывы о курсе 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.
Преподаватели
Lauren Steinfeld
Lecturer in Law
Andrew Kandel
Lecturer in LawО Пенсильванский университет
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.
Специализация Regulatory Compliance: общие сведения
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.
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