This course is part of the Regulatory Compliance Specialization

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Lauren Steinfeld +1 more instructor

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Regulatory Compliance SpecializationUniversity of Pennsylvania

About this Course

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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.

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Earn a Certificate upon completion

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Course 2 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

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

Skills you will gain

Management
Strategic Planning
Compliance
Organizational Behavior

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 2 of 4 in the

Regulatory Compliance Specialization

Approx. 11 hours to complete

English

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

Instructors

Instructor rating

4.96/5 (108 Ratings)

Lauren Steinfeld
Top Instructor

Lecturer in Law

34,410 Learners

4 Courses

Andrew Kandel
Top Instructor

Lecturer in Law

26,817 Learners

3 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%(2,971 ratings)

Week

Week 1

2 hours to complete

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.

2 hours to complete

7 videos (Total 33 min), 4 readings, 2 quizzes

7 videos

Welcome to the Course1m

Setting the Stage: Origins of Compliance Law3m

The Goal of Compliance Culture: Integrating Compliance Throughout the Organization6m

From “Tone at the Top” to “Compliance at the Core”6m

The Compliance Officer / Responsible Person4m

Independence, Empowerment, and Resources: Part 14m

Independence, Empowerment, and Resources: Part 27m

4 readings

Pre-Course Survey (Optional)10m

Building a World Class Ethics & Compliance Program25m

A Brief History of Compliance25m

I Called the Wells Fargo Ethics Hotline and was Fired25m

2 practice exercises

The Role of the Compliance Officer5m

Module 1 Quiz10m

Week

Week 2

4 hours to complete

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.

4 hours to complete

10 videos (Total 39 min), 2 readings, 3 quizzes

10 videos

The Code of Conduct4m

Policies, Procedures, and Standards3m

Training2m

Training Sessions4m

Other Information Flows2m

Compliance & Branding3m

Communications with Business Partners2m

Monitoring: Part 13m

Monitoring: Part 28m

Reporting Line3m

2 readings

18 of the Best Code of Conduct Examples1h

Regulatory Compliance in the Age of Artificial Intelligence30m

3 practice exercises

The Code of Ethics30m

Communication & Information Flows15m

Module 2 Quiz20m

Week

Week 3

3 hours to complete

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.

3 hours to complete

23 videos (Total 40 min), 1 reading, 3 quizzes

23 videos

Compliance Involves More Than You Think2m

Why People Do Bad Things4m

The Psychological Aberration or Deviation Theory2m

The Privileged or Entitled Theory1m

The Stress and Pressure Theory54s

The Excessive Greed or Excessive Ambition Theory2m

The Cost-Benefit / Risk Reward Theory1m

The Lack of Recognition Theory1m

The Lack of Self-Control Theory1m

The “Everyone is Doing it” or The Virus Theory45s

The “I Could Have Done it Another Way” Theory1m

The No Harm Theory1m

How to Get People to be Compliant: Psychological Theories of Compliance2m

The Nudge Theory3m

The Punishment / Scare Them Theory1m

The Rules / CYA Theory1m

The Ubiquity Theory2m

The Reward Me Theory1m

The Quid Pro Quo Theory59s

The Bureaucratic Theory1m

The Slippery Slope / Broken Windows Theory1m

The Target Theory1m

The "One Size Doesn't Fit All" Theory53s

1 reading

Why Do They Do It? Inside the Mind of the White-Collar Criminal30m

3 practice exercises

Theories of White Collar Crime15m

Theories of Compliance15m

Module 3 Quiz20m

Week

Week 4

3 hours to complete

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.

3 hours to complete

6 videos (Total 24 min), 3 readings, 3 quizzes

Reviews

4.9

87 reviews

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TOP REVIEWS FROM EFFECTIVE COMPLIANCE PROGRAMS

by MBSep 29, 2019

Such valuable information! I love the way the teachers explain various concepts, and in an easily understandable manner.

by MHNov 9, 2020

Overall exceptional experience: I) Extremely useful, engaging, well organized content II) The best instructor I have ever had.

by VNAug 5, 2021

The course was great, even more than the 1st one I hope it gives me the job opportunities wanted in the future

by MZJun 19, 2019

I have found the course enriching especially because of my keen interest in governance related issues.

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.

Effective Compliance Programs