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Effective Compliance Programs
  • Level Foundation
  • المدة 11 ساعات hours
  • الطبع بواسطة University of Pennsylvania
  • Offered by

عن

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.

الوحدات

Introduction to Compliance Programs

    • 2 Videos
    • 3 Readings
    • 1 Discussion
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1 Discussions

  • Introduce Yourself!

2 Videos

  • Welcome to the Course
  • Setting the Stage: Origins of Compliance Law

3 Readings

  • Pre-Course Survey (Optional)
  • Building a World Class Ethics & Compliance Program
  • A Brief History of Compliance

Compliance Throughout the Organization

    • 2 Videos
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2 Videos

  • The Goal of Compliance Culture: Integrating Compliance Throughout the Organization
  • From “Tone at the Top” to “Compliance at the Core”

The Chief Compliance Officer

    • 3 Videos
    • 1 Readings
    • 2 Assignment
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2 Assignment

  • The Role of the Compliance Officer
  • Module 1 Quiz

3 Videos

  • The Compliance Officer / Responsible Person
  • Independence, Empowerment, and Resources: Part 1
  • Independence, Empowerment, and Resources: Part 2

1 Readings

  • I Called the Wells Fargo Ethics Hotline and was Fired

The Code of Ethics & Other Policies

    • 2 Videos
    • 1 Readings
    • 1 Assignment
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1 Assignment

  • The Code of Ethics

2 Videos

  • The Code of Conduct
  • Policies, Procedures, and Standards

1 Readings

  • 18 of the Best Code of Conduct Examples

Compliance Training

    • 2 Videos
    • 1 Discussion
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1 Discussions

  • Compliance in Your Workplace

2 Videos

  • Training
  • Training Sessions

Other Information Flows

    • 3 Videos
    • 1 Assignment
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1 Assignment

  • Communication & Information Flows

3 Videos

  • Other Information Flows
  • Compliance & Branding
  • Communications with Business Partners

Monitoring & Reporting

    • 3 Videos
    • 1 Readings
    • 1 Assignment
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1 Assignment

  • Module 2 Quiz

3 Videos

  • Monitoring: Part 1
  • Monitoring: Part 2
  • Reporting Line

1 Readings

  • Regulatory Compliance in the Age of Artificial Intelligence

Compliance & White Collar Crime

    • 2 Videos
    • 1 Readings
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2 Videos

  • Compliance Involves More Than You Think
  • Why People Do Bad Things

1 Readings

  • Why Do They Do It? Inside the Mind of the White-Collar Criminal

Theories of White Collar Crime

    • 10 Videos
    • 1 Discussion
    • 1 Assignment
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1 Assignment

  • Theories of White Collar Crime

1 Discussions

  • Addressing the Risk of White Collar Crime

10 Videos

  • The Psychological Aberration or Deviation Theory
  • The Privileged or Entitled Theory
  • The Stress and Pressure Theory
  • The Excessive Greed or Excessive Ambition Theory
  • The Cost-Benefit / Risk Reward Theory
  • The Lack of Recognition Theory
  • The Lack of Self-Control Theory
  • The “Everyone is Doing it” or The Virus Theory
  • The “I Could Have Done it Another Way” Theory
  • The No Harm Theory

Theories of Compliance

    • 11 Videos
    • 2 Assignment
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2 Assignment

  • Theories of Compliance
  • Module 3 Quiz

11 Videos

  • How to Get People to be Compliant: Psychological Theories of Compliance
  • The Nudge Theory
  • The Punishment / Scare Them Theory
  • The Rules / CYA Theory
  • The Ubiquity Theory
  • The Reward Me Theory
  • The Quid Pro Quo Theory
  • The Bureaucratic Theory
  • The Slippery Slope / Broken Windows Theory
  • The Target Theory
  • The "One Size Doesn't Fit All" Theory

Responding to Non-Compliance

    • 3 Videos
    • 1 Readings
    • 1 Assignment
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1 Assignment

  • Incident Response

3 Videos

  • Dealing with Non-Compliance
  • Senior Response Team
  • Reporting and Other Communication

1 Readings

  • Data Breach Response

Imposing Discipline for Non-Compliance

    • 1 Videos
    • 1 Assignment
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1 Assignment

  • Enforcing Discipline

1 Videos

  • Enforcing Discipline

Learning from Compliance Failures

    • 2 Videos
    • 2 Readings
    • 1 PeerReview
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1 Peer Review

  • You’re in Charge: Creating an Effective Compliance Program

2 Videos

  • Lessons Learned / Root Cause analysis
  • Table Top Exercises

2 Readings

  • Concluding Thoughts
  • Post-Course Survey (Optional)

Auto Summary

"Effective Compliance Programs," offered by Coursera, delves into the essentials of compliance within Business & Management. The course emphasizes human psychology's role in fostering a compliance culture and provides practical insights into formal compliance programs. Learners will explore technologies, workflows, policies, monitoring, and training crucial for designing effective programs. Ideal for beginners, this foundation-level course spans 660 minutes and is available with a Starter subscription.

Lauren Steinfeld
Instructors

Lauren Steinfeld

Andrew Kandel
Instructors

Andrew Kandel