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What is Compliance?

4.8 Filled star Filled star Filled star Filled star Half star
Based on 1,311 ratings
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Andrew Kandel and Lauren Steinfeld

Compliance isn’t only about preventing problems and ensuring that everyone is abiding by laws, rules, and regulations. It’s also about the positive impact a robust and ethical compliance program can have on a business or organization.

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Compliance isn’t only about preventing problems and ensuring that everyone is abiding by laws, rules, and regulations. It’s also about the positive impact a robust and ethical compliance program can have on a business or organization.

In this course we will discuss why compliance is important – from the needs facing businesses in highly regulated industries to avoiding fines and penalties to preventing reputational and economic nightmares. We’ll examine real-world examples of compliance and governance failures and their impact, and consider strategies for avoiding similar situations in our own organizations. You’ll be able to think about risk management in new ways and apply strategies to manage it.

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What's inside

Syllabus

What is compliance?
What is compliance and why is it important? In this module, we answer those questions while also looking at some recent high-profile cases of non-compliance in the business world.
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Traffic lights

Read about what's good
what should give you pause
and possible dealbreakers
Designed for individuals involved in compliance and governance at businesses and organizations
Introduces the importance of compliance, examining real-world examples of its failures
Suitable for professionals seeking to manage risk and improve compliance
Led by instructors with expertise and experience in compliance and governance
Provides strategies for risk management and compliance practices
Suitable for a broad audience interested in compliance, risk management, and business ethics

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Reviews summary

Foundational compliance overview

According to learners, this course provides a solid introduction to the world of compliance. Many found it to be a clear and concise overview of core concepts, making it particularly helpful for those new to the field or seeking a basic understanding. Students appreciated the discussion of real-world examples of compliance failures and their impact. While broadly seen as beneficial for beginners, some noted that the course is quite foundational and may lack depth for learners with prior experience or those looking for advanced topics.
Ideal for those new to the topic.
"This is a perfect course if you are completely new to the concept of compliance."
"I had no prior knowledge, and this course made the topic accessible and understandable for me."
"Highly recommend this course for anyone starting out in a role that touches on compliance."
Includes practical, relevant case studies.
"The real-world examples discussed were highly relevant and helped illustrate the concepts effectively."
"Learning about actual compliance failures made the importance of the topic very clear to me."
"I liked that they included practical examples of how non-compliance impacts businesses."
Content is easy to follow and understand.
"The lectures were very clear and the explanations were easy to follow."
"I appreciated how concisely the material was presented, straight to the point."
"The course content is clear and gets right to the essential points without unnecessary jargon."
Provides a good introduction to compliance.
"The course provided me with a strong foundation in understanding the basics of compliance."
"I found this course to be an excellent starting point to learn about compliance and its importance."
"Great overview, especially helpful for someone just getting introduced to the subject."
May be too basic for experienced learners.
"While good for beginners, I felt the course lacked the depth I was hoping for given my background."
"If you already have some knowledge of compliance, this might feel a bit too introductory."
"It serves as a basic overview, but I wished it went into more detail on specific regulations."

Activities

Be better prepared before your course. Deepen your understanding during and after it. Supplement your coursework and achieve mastery of the topics covered in What is Compliance? with these activities:
Review key compliance laws and regulations
Familiarize yourself with the laws, regulations, and ethical standards that govern compliance, ensuring a solid foundation for the course's discussions.
Show steps
  • Read relevant sections of laws and regulations.
  • Identify key compliance requirements.
  • Summarize the main principles of ethical conduct.
Analyze compliance case studies
Immerse yourself in real-world compliance scenarios, honing your decision-making and risk management skills.
Show steps
  • Read and analyze a compliance case study.
  • Identify the key compliance issues involved.
  • Evaluate the actions taken by the organizations involved.
  • Suggest alternative approaches or solutions.
Develop a compliance risk assessment plan
Develop a comprehensive plan to identify, assess, and mitigate compliance risks in an organizational setting.
Browse courses on Risk Management Plan
Show steps
  • Gather information about the organization's operations and objectives.
  • Identify potential compliance risks.
  • Assess the likelihood and impact of each risk.
  • Develop risk mitigation strategies.
  • Create a plan for monitoring and evaluating the effectiveness of the risk mitigation strategies.
One other activity
Expand to see all activities and additional details
Show all four activities
Contribute to open-source projects related to compliance
Engage with the compliance community, improve your technical skills, and contribute to the development of industry tools and resources.
Show steps
  • Identify open-source projects related to compliance.
  • Review the project documentation.
  • Identify ways to contribute to the project.
  • Make contributions to the project.
  • Collaborate with other contributors.

Career center

Learners who complete What is Compliance? will develop knowledge and skills that may be useful to these careers:
Compliance Officer
A Compliance Officer is a professional responsible for ensuring that a business or organization complies with all applicable laws and regulations. This course may be useful for aspiring Compliance Officers because it provides a comprehensive overview of compliance, including the importance of compliance and why it is important for businesses. The course also discusses real-world examples of compliance and governance failures, which can help Compliance Officers learn from the mistakes of others and avoid similar situations in their own organizations.
See salaries and explore the career path for Compliance Officer
Risk Manager
A Risk Manager is responsible for identifying, assessing, and mitigating risks to a business or organization. This course may be useful for aspiring Risk Managers because it provides a comprehensive overview of compliance and risk management, including the close relationship between the two. The course also discusses alternative forms of risk management, which can help Risk Managers develop a comprehensive risk management strategy for their organizations.
See salaries and explore the career path for Risk Manager
Auditor
An Auditor is responsible for examining and evaluating financial records to ensure that they are accurate and compliant with all applicable laws and regulations. This course may be useful for aspiring Auditors because it provides a comprehensive overview of compliance, including the importance of compliance and why it is important for businesses. The course also discusses real-world examples of compliance and governance failures, which can help Auditors learn from the mistakes of others and avoid similar situations in their own organizations.
See salaries and explore the career path for Auditor
Compliance Analyst
A Compliance Analyst is responsible for analyzing and interpreting compliance data to identify potential risks and ensure that a business or organization is complying with all applicable laws and regulations. This course may be useful for aspiring Compliance Analysts because it provides a comprehensive overview of compliance, including the importance of compliance and why it is important for businesses. The course also discusses real-world examples of compliance and governance failures, which can help Compliance Analysts learn from the mistakes of others and avoid similar situations in their own organizations.
See salaries and explore the career path for Compliance Analyst
Compliance Manager
A Compliance Manager is responsible for developing and implementing compliance programs for a business or organization. This course may be useful for aspiring Compliance Managers because it provides a comprehensive overview of compliance, including the importance of compliance and why it is important for businesses. The course also discusses real-world examples of compliance and governance failures, which can help Compliance Managers learn from the mistakes of others and avoid similar situations in their own organizations.
See salaries and explore the career path for Compliance Manager
Regulatory Affairs Specialist
A Regulatory Affairs Specialist is responsible for ensuring that a business or organization complies with all applicable laws and regulations. This course may be useful for aspiring Regulatory Affairs Specialists because it provides a comprehensive overview of compliance, including the importance of compliance and why it is important for businesses. The course also discusses real-world examples of compliance and governance failures, which can help Regulatory Affairs Specialists learn from the mistakes of others and avoid similar situations in their own organizations.
See salaries and explore the career path for Regulatory Affairs Specialist
Legal Counsel
A Legal Counsel is responsible for providing legal advice to a business or organization. This course may be useful for aspiring Legal Counsel because it provides a comprehensive overview of compliance, including the importance of compliance and why it is important for businesses. The course also discusses real-world examples of compliance and governance failures, which can help Legal Counsel learn from the mistakes of others and avoid similar situations in their own organizations.
See salaries and explore the career path for Legal Counsel
Corporate Secretary
A Corporate Secretary is responsible for managing the administrative and legal affairs of a business or organization. This course may be useful for aspiring Corporate Secretaries because it provides a comprehensive overview of compliance, including the importance of compliance and why it is important for businesses. The course also discusses real-world examples of compliance and governance failures, which can help Corporate Secretaries learn from the mistakes of others and avoid similar situations in their own organizations.
See salaries and explore the career path for Corporate Secretary
Chief Compliance Officer
A Chief Compliance Officer is responsible for overseeing the compliance program of a business or organization. This course may be useful for aspiring Chief Compliance Officers because it provides a comprehensive overview of compliance, including the importance of compliance and why it is important for businesses. The course also discusses real-world examples of compliance and governance failures, which can help Chief Compliance Officers learn from the mistakes of others and avoid similar situations in their own organizations.
See salaries and explore the career path for Chief Compliance Officer
Compliance Consultant
A Compliance Consultant is responsible for providing compliance advice to businesses and organizations. This course may be useful for aspiring Compliance Consultants because it provides a comprehensive overview of compliance, including the importance of compliance and why it is important for businesses. The course also discusses real-world examples of compliance and governance failures, which can help Compliance Consultants learn from the mistakes of others and avoid similar situations in their own organizations.
See salaries and explore the career path for Compliance Consultant
Ethics and Compliance Officer
An Ethics and Compliance Officer is responsible for developing and implementing ethics and compliance programs for a business or organization. This course may be useful for aspiring Ethics and Compliance Officers because it provides a comprehensive overview of compliance, including the importance of compliance and why it is important for businesses. The course also discusses real-world examples of compliance and governance failures, which can help Ethics and Compliance Officers learn from the mistakes of others and avoid similar situations in their own organizations.
See salaries and explore the career path for Ethics and Compliance Officer
Internal Auditor
An Internal Auditor is responsible for auditing the financial and operational activities of a business or organization to ensure that they are compliant with all applicable laws and regulations. This course may be useful for aspiring Internal Auditors because it provides a comprehensive overview of compliance, including the importance of compliance and why it is important for businesses. The course also discusses real-world examples of compliance and governance failures, which can help Internal Auditors learn from the mistakes of others and avoid similar situations in their own organizations.
See salaries and explore the career path for Internal Auditor
Risk and Compliance Manager
A Risk and Compliance Manager is responsible for managing the risks and compliance issues of a business or organization. This course may be useful for aspiring Risk and Compliance Managers because it provides a comprehensive overview of compliance, including the importance of compliance and why it is important for businesses. The course also discusses real-world examples of compliance and governance failures, which can help Risk and Compliance Managers learn from the mistakes of others and avoid similar situations in their own organizations.
See salaries and explore the career path for Risk and Compliance Manager
Compliance and Ethics Manager
A Compliance and Ethics Manager is responsible for developing and implementing compliance and ethics programs for a business or organization. This course may be useful for aspiring Compliance and Ethics Managers because it provides a comprehensive overview of compliance, including the importance of compliance and why it is important for businesses. The course also discusses real-world examples of compliance and governance failures, which can help Compliance and Ethics Managers learn from the mistakes of others and avoid similar situations in their own organizations.
See salaries and explore the career path for Compliance and Ethics Manager
Compliance Program Manager
A Compliance Program Manager is responsible for managing the compliance program of a business or organization. This course may be useful for aspiring Compliance Program Managers because it provides a comprehensive overview of compliance, including the importance of compliance and why it is important for businesses. The course also discusses real-world examples of compliance and governance failures, which can help Compliance Program Managers learn from the mistakes of others and avoid similar situations in their own organizations.
See salaries and explore the career path for Compliance Program Manager

Reading list

We've selected four books that we think will supplement your learning. Use these to develop background knowledge, enrich your coursework, and gain a deeper understanding of the topics covered in What is Compliance?.
Cover image
Nonphysician Practitioner Reference Guide - First...
Save
This handbook provides practical guidance on how to develop and implement compliance programs for healthcare professionals.
Nonphysician Practitioner Reference Guide - First...
Paperback
Check
Nonphysician Practitioner Reference Guide - First...
Kindle Edition
Check
Cover image
Taxing Culture
Save
Practical guide to compliance, written in an accessible and easy-to-understand style. It provides step-by-step instructions on how to create and implement a compliance program.
Taxing Culture: Towards a Theory of Tax Collection...
Kindle Edition
$$$
Cover image
The Compliance Handbook: A Guide to...
Save
This handbook comprehensive resource for nonprofits that are responsible for compliance. It covers a wide range of topics, including the legal and regulatory landscape, compliance risk assessment, and best practices for compliance programs.
The Compliance Handbook: A Guide to...
Paperback
$$$$
The Compliance Handbook: A Guide to...
Perfect Paperback
$$$$
The Compliance Handbook: A Guide to...
Perfect Paperback
$$$$
The Compliance Handbook: A Guide to...
Kindle Edition
$$$$
Cover image
The Complete Idiot's Guide to Successful Outsourcing
Save
Is a入門書for compliance. It provides a basic overview of the field and covers the key elements of a compliance program.
The Complete Idiot's Guide to Successful Outsourcing
Paperback
$$

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Rating
4.8 Filled star Filled star Filled star Filled star Half star
Effort
10 hours to complete
Via
Coursera
Institution
University of Pennsylvania
Instructors
Andrew Kandel
Lauren Steinfeld
Language
English
Transcripts
Español Français Português Deutsch Italiano 中文 العربية 한국어 日本語 हिंदी Nederlands Svenska Pусский Türkçe Polski Ελληνικά українська мова magyar nyelv Bahasa Indonesia ไทย қазақша اُردُو, فارسی বাংলা tiếng Việt پښتو آذربایجان دیلی
This course belongs to a collection called Regulatory Compliance. It's comprised of four courses:
  1. Effective Compliance Programs
  2. What is Compliance? (viewing)
  3. Privacy Law and Data Protection
  4. What is Corruption: Anti-Corruption and Compliance
Traffic lights
Read about what's good
what should give you pause
and possible dealbreakers
Designed for individuals involved in compliance and governance at businesses and organizations
Introduces the importance of compliance, examining real-world examples of its failures
Suitable for professionals seeking to manage risk and improve compliance
Led by instructors with expertise and experience in compliance and governance
Provides strategies for risk management and compliance practices
Suitable for a broad audience interested in compliance, risk management, and business ethics
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