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Effective Compliance Programs

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Effective Compliance Programs

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Gain insight into a topic and learn the fundamentals.
4.9

879 reviews

1 week to complete
at 10 hours a week
Flexible schedule
Learn at your own pace
Gain insight into a topic and learn the fundamentals.
4.9

879 reviews

1 week to complete
at 10 hours a week
Flexible schedule
Learn at your own pace

What you'll 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

Details to know

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Assessments

10 assignments¹

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Taught in English
96%
Most learners liked this course

Build your subject-matter expertise

This course is part of the Regulatory Compliance Specialization
When you enroll in this course, you'll also be enrolled in this Specialization.
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  • Gain a foundational understanding of a subject or tool
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  • Earn a shareable career certificate

There are 4 modules in this course

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.

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.

What's included

7 videos4 readings2 assignments1 discussion prompt

7 videos•Total 33 minutes
  • Welcome to the Course•2 minutes
  • Setting the Stage: Origins of Compliance Law•3 minutes
  • The Goal of Compliance Culture: Integrating Compliance Throughout the Organization•6 minutes
  • From “Tone at the Top” to “Compliance at the Core”•6 minutes
  • The Compliance Officer / Responsible Person•5 minutes
  • Independence, Empowerment, and Resources: Part 1•4 minutes
  • Independence, Empowerment, and Resources: Part 2•8 minutes
4 readings•Total 85 minutes
  • Pre-Course Survey (Optional)•10 minutes
  • Building a World Class Ethics & Compliance Program•25 minutes
  • A Brief History of Compliance•25 minutes
  • I Called the Wells Fargo Ethics Hotline and was Fired•25 minutes
2 assignments•Total 15 minutes
  • Module 1 Quiz•10 minutes
  • The Role of the Compliance Officer•5 minutes
1 discussion prompt•Total 10 minutes
  • Introduce Yourself!•10 minutes

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.

What's included

10 videos2 readings3 assignments1 discussion prompt

10 videos•Total 39 minutes
  • The Code of Conduct•4 minutes
  • Policies, Procedures, and Standards•3 minutes
  • Training•3 minutes
  • Training Sessions•4 minutes
  • Other Information Flows•3 minutes
  • Compliance & Branding•3 minutes
  • Communications with Business Partners•3 minutes
  • Monitoring: Part 1•3 minutes
  • Monitoring: Part 2•8 minutes
  • Reporting Line•3 minutes
2 readings•Total 90 minutes
  • 18 of the Best Code of Conduct Examples•60 minutes
  • Regulatory Compliance in the Age of Artificial Intelligence•30 minutes
3 assignments•Total 65 minutes
  • Module 2 Quiz•20 minutes
  • The Code of Ethics•30 minutes
  • Communication & Information Flows•15 minutes
1 discussion prompt•Total 30 minutes
  • Compliance in Your Workplace•30 minutes

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.

What's included

23 videos1 reading3 assignments1 discussion prompt

23 videos•Total 40 minutes
  • Compliance Involves More Than You Think•2 minutes
  • Why People Do Bad Things•5 minutes
  • The Psychological Aberration or Deviation Theory•2 minutes
  • The Privileged or Entitled Theory•2 minutes
  • The Stress and Pressure Theory•1 minute
  • The Excessive Greed or Excessive Ambition Theory•3 minutes
  • The Cost-Benefit / Risk Reward Theory•2 minutes
  • The Lack of Recognition Theory•2 minutes
  • The Lack of Self-Control Theory•1 minute
  • The “Everyone is Doing it” or The Virus Theory•1 minute
  • The “I Could Have Done it Another Way” Theory•1 minute
  • The No Harm Theory•1 minute
  • How to Get People to be Compliant: Psychological Theories of Compliance•2 minutes
  • The Nudge Theory•3 minutes
  • The Punishment / Scare Them Theory•2 minutes
  • The Rules / CYA Theory•1 minute
  • The Ubiquity Theory•2 minutes
  • The Reward Me Theory•1 minute
  • The Quid Pro Quo Theory•1 minute
  • The Bureaucratic Theory•1 minute
  • The Slippery Slope / Broken Windows Theory•2 minutes
  • The Target Theory•1 minute
  • The "One Size Doesn't Fit All" Theory•1 minute
1 reading•Total 30 minutes
  • Why Do They Do It? Inside the Mind of the White-Collar Criminal•30 minutes
3 assignments•Total 50 minutes
  • Module 3 Quiz•20 minutes
  • Theories of White Collar Crime•15 minutes
  • Theories of Compliance•15 minutes
1 discussion prompt•Total 30 minutes
  • Addressing the Risk of White Collar Crime•30 minutes

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.

What's included

6 videos3 readings2 assignments1 peer review

6 videos•Total 24 minutes
  • Dealing with Non-Compliance•4 minutes
  • Senior Response Team•3 minutes
  • Reporting and Other Communication•3 minutes
  • Enforcing Discipline•4 minutes
  • Lessons Learned / Root Cause analysis•3 minutes
  • Table Top Exercises•7 minutes
3 readings•Total 50 minutes
  • Data Breach Response•30 minutes
  • Concluding Thoughts•10 minutes
  • Post-Course Survey (Optional)•10 minutes
2 assignments•Total 30 minutes
  • Incident Response•15 minutes
  • Enforcing Discipline•15 minutes
1 peer review•Total 60 minutes
  • You’re in Charge: Creating an Effective Compliance Program•60 minutes

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Instructors

Instructor ratings
4.9 (180 ratings)
University of Pennsylvania
4 Courses•98,294 learners

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Learner reviews

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Showing 3 of 879

CG
·

Reviewed on Apr 26, 2026

This was an insightful program. I enjoyed the many sourced readings to add understanding to the information.

AN
·

Reviewed on May 7, 2020

Practical and effective course! Even if you already have hands-on experience in compliance, it still teaches you new practical strategies on how to improve your program. Totally recommended!

MZ
·

Reviewed on Jun 19, 2019

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

Frequently asked questions

To access the course materials, assignments and to earn a Certificate, you will need to purchase the Certificate experience when you enroll in a course. 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.

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.

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.

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¹ Some assignments in this course are AI-graded. For these assignments, your data will be used in accordance with Coursera's Privacy Notice.