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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Coursera Labs

Includes hands on learning projects.

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Course 2 of 4 in the

Regulatory Compliance Specialization

Approx. 11 hours to complete

English

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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.

Coursera Labs

Includes hands on learning projects.

Learn more about Coursera Labs

Course 2 of 4 in the

Regulatory Compliance Specialization

Approx. 11 hours to complete

English

Could your company benefit from training employees on in-demand skills?

Try Coursera for Business

Instructors

Instructor rating

4.96/5 (124 Ratings)

Lauren Steinfeld
Top Instructor

Lecturer in Law

43,293 Learners

4 Courses

Andrew Kandel
Top Instructor

Lecturer in Law

33,410 Learners

3 Courses

Offered by

University of Pennsylvania

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Syllabus - What you will learn from this course

Content Rating96%(3,504 ratings)

Week1

Week 1

2 hours to complete

Building a Strong Compliance Culture

2 hours to complete

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

7 videos

Welcome to the Course1mSetting the Stage: Origins of Compliance Law3mThe Goal of Compliance Culture: Integrating Compliance Throughout the Organization6mFrom “Tone at the Top” to “Compliance at the Core”6mThe Compliance Officer / Responsible Person4mIndependence, Empowerment, and Resources: Part 14mIndependence, Empowerment, and Resources: Part 27m

4 readings

Pre-Course Survey (Optional)10mBuilding a World Class Ethics & Compliance Program25mA Brief History of Compliance25mI Called the Wells Fargo Ethics Hotline and was Fired25m

2 practice exercises

The Role of the Compliance Officer5mModule 1 Quiz10m

Week2

Week 2

4 hours to complete

A Closer Look at the Essentials

4 hours to complete

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

10 videos

The Code of Conduct4mPolicies, Procedures, and Standards3mTraining2mTraining Sessions4mOther Information Flows2mCompliance & Branding3mCommunications with Business Partners2mMonitoring: Part 13mMonitoring: Part 28mReporting Line3m

2 readings

18 of the Best Code of Conduct Examples1hRegulatory Compliance in the Age of Artificial Intelligence30m

3 practice exercises

The Code of Ethics30mCommunication & Information Flows15mModule 2 Quiz20m

Week3

Week 3

3 hours to complete

The Psychology of Compliance

3 hours to complete

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

23 videos

Compliance Involves More Than You Think2mWhy People Do Bad Things4mThe Psychological Aberration or Deviation Theory2mThe Privileged or Entitled Theory1mThe Stress and Pressure Theory54sThe Excessive Greed or Excessive Ambition Theory2mThe Cost-Benefit / Risk Reward Theory1mThe Lack of Recognition Theory1mThe Lack of Self-Control Theory1mThe “Everyone is Doing it” or The Virus Theory45sThe “I Could Have Done it Another Way” Theory1mThe No Harm Theory1mHow to Get People to be Compliant: Psychological Theories of Compliance2mThe Nudge Theory3mThe Punishment / Scare Them Theory1mThe Rules / CYA Theory1mThe Ubiquity Theory2mThe Reward Me Theory1mThe Quid Pro Quo Theory59sThe Bureaucratic Theory1mThe Slippery Slope / Broken Windows Theory1mThe Target Theory1mThe "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 Crime15mTheories of Compliance15mModule 3 Quiz20m

Week4

Week 4

3 hours to complete

Dealing With Non-Compliance

3 hours to complete

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

Reviews

4.9

101 reviews

5 stars
91.63%
4 stars
7.69%
3 stars
0.33%
1 star
0.33%

TOP REVIEWS FROM EFFECTIVE COMPLIANCE PROGRAMS

by MHNov 9, 2020

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

by KDAug 9, 2021

From beginning to end, the course presenters use a very practical yet in depth approach to exploring the subject matter that connects the theories with real world scenarios.

by KNJul 19, 2020

Good way to undertand how to create an effective compliance program. Interesting to learn about the various theories too.

by RMMay 8, 2019

Excellent course! Enjoyed learning about the different types of theories of compliance.

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.

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