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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このコースについて
24,102 最近の表示
学習内容
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
習得するスキル
ManagementStrategic PlanningComplianceOrganizational Behavior
シラバス - 本コースの学習内容
週
12時間で修了
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件のビデオ （合計33分）, 4 readings, 2 quizzes
7件のビデオ
Setting the Stage: Origins of Compliance Law3 分
The Goal of Compliance Culture: Integrating Compliance Throughout the Organization6 分
From “Tone at the Top” to “Compliance at the Core”6 分
The Compliance Officer / Responsible Person4 分
Independence, Empowerment, and Resources: Part 14 分
Independence, Empowerment, and Resources: Part 27 分
4件の学習用教材
Pre-Course Survey (Optional)10 分
Building a World Class Ethics & Compliance Program25 分
A Brief History of Compliance25 分
I Called the Wells Fargo Ethics Hotline and was Fired25 分
2の練習問題
The Role of the Compliance Officer5 分
Module 1 Quiz10 分
週
23時間で修了
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件のビデオ （合計39分）, 2 readings, 3 quizzes
10件のビデオ
Policies, Procedures, and Standards3 分
Training2 分
Training Sessions4 分
Other Information Flows2 分
Compliance & Branding3 分
Communications with Business Partners2 分
Monitoring: Part 13 分
Monitoring: Part 28 分
Reporting Line3 分
2件の学習用教材
18 of the Best Code of Conduct Examples1 時間
Regulatory Compliance in the Age of Artificial Intelligence30 分
3の練習問題
The Code of Ethics4 分
Communication & Information Flows15 分
Module 2 Quiz20 分
週
33時間で修了
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件のビデオ （合計40分）, 1 reading, 3 quizzes
23件のビデオ
Why People Do Bad Things4 分
The Psychological Aberration or Deviation Theory2 分
The Privileged or Entitled Theory1 分
The Stress and Pressure Theory54
The Excessive Greed or Excessive Ambition Theory2 分
The Cost-Benefit / Risk Reward Theory1 分
The Lack of Recognition Theory1 分
The Lack of Self-Control Theory1 分
The “Everyone is Doing it” or The Virus Theory45
The “I Could Have Done it Another Way” Theory1 分
The No Harm Theory1 分
How to Get People to be Compliant: Psychological Theories of Compliance2 分
The Nudge Theory3 分
The Punishment / Scare Them Theory1 分
The Rules / CYA Theory1 分
The Ubiquity Theory2 分
The Reward Me Theory1 分
The Quid Pro Quo Theory59
The Bureaucratic Theory1 分
The Slippery Slope / Broken Windows Theory1 分
The Target Theory1 分
The "One Size Doesn't Fit All" Theory53
1件の学習用教材
Why Do They Do It? Inside the Mind of the White-Collar Criminal30 分
3の練習問題
Theories of White Collar Crime15 分
Theories of Compliance15 分
Module 3 Quiz20 分
週
44時間で修了
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件のビデオ （合計24分）, 3 readings, 3 quizzes
6件のビデオ
Senior Response Team2 分
Reporting and Other Communication3 分
Enforcing Discipline4 分
Lessons Learned / Root Cause analysis2 分
Table Top Exercises7 分
3件の学習用教材
Data Breach Response30 分
Concluding Thoughts10 分
Post-Course Survey (Optional)10 分
2の練習問題
Incident Response15 分
Enforcing Discipline15 分
4.9
18件のレビュー33%
コースが具体的なキャリアアップにつながった
Effective Compliance Programs からの人気レビュー
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.
Content was interisting. I really approciate listening the lectures. Both teachers are so clear and objective.
講師
Lauren Steinfeld
Lecturer in Law
Andrew Kandel
Lecturer in Lawペンシルベニア大学（University of Pennsylvania）について
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.
Regulatory Compliance専門講座について
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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