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Effective Compliance Programs

Lauren Steinfeld and Andrew Kandel

4.9

Based on 758 ratings

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Lauren Steinfeld and Andrew Kandel

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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What's inside

Syllabus

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.

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Read about what's good

what should give you pause

and possible dealbreakers

Designed for those who want to build or strengthen a culture of compliance

Taught by instructors who are recognized for their work in compliance

Covers the essentials of building a strong compliance culture, including policies, procedures, and training

Explores the psychology of compliance, which can help learners understand how to get people to comply with rules and regulations

Provides strategies for dealing with non-compliance

Helps learners understand the nuances of how compliance programs are applied in practice

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Reviews summary

Overview of effective compliance programs

According to students, this course on Effective Compliance Programs provides a structured overview of key elements for building and managing compliance within organizations. Learners explore the psychology behind compliance and examine practical tools and strategies for program design, including policies, training, and monitoring. The curriculum also addresses strategies for handling non-compliance situations. Based on the syllabus, the course focuses on establishing both foundational culture and practical application, offering a potential toolkit for effective design.

Covers foundations for a strong culture.

"I learned about the building blocks for fostering a compliance culture."

"The module on culture was a good starting point."

"Understanding the essentials of a compliant culture was helpful."

Strategies for handling violations.

"Strategies for dealing with non-compliance were covered."

"I found the approaches to handling violations interesting."

"It explores the inevitability of non-compliance in organizations."

Explores human reasons for non-compliance.

"The psychology module offered some unique insights."

"I liked understanding why non-compliance happens."

"Examining the human side of compliance was interesting."

Provides tools like policies and training.

"I gained practical strategies for program design."

"I learned about policies, training, and monitoring methods."

"It provided a useful toolkit for designing compliance programs."

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 Effective Compliance Programs with these activities:

Review the basics of compliance

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Refreshing your knowledge of the basics of compliance will help you better understand the material in this course.

Browse courses on Compliance Regulations

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Read the course syllabus.
Review your notes from previous compliance training.
Take a practice quiz on compliance basics.

Review Human Psychology

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Ensures that all students enter the course with a common knowledge foundation, which will help with the understanding of the material.

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Review the basics of psychology.
Focus on social psychology and group dynamics.

Connect with Compliance Professionals

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Provides students with access to experienced mentors who can provide guidance, support, and valuable insights into the field of compliance.

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Identify potential mentors through industry events, networking platforms, or professional organizations.
Reach out to mentors and inquire about mentorship opportunities.
Establish regular meetings or communication channels to engage with mentors.

Six other activities

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Volunteer with a Compliance Organization

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Provides students with practical experience in the field, exposing them to real-world compliance issues and strengthening their understanding of compliance principles.

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Identify and contact relevant organizations.
Inquire about volunteer opportunities.
Commit to a regular volunteering schedule.

Attend Compliance Conferences and Events

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Provides opportunities for students to network with professionals and learn about industry trends and best practices, broadening their knowledge and understanding of compliance.

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Research and identify relevant conferences and events.
Register and attend selected events.
Actively participate in sessions and engage with speakers.

Develop Compliance Training Materials

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Allows students to apply their knowledge of compliance psychology and human behavior to create effective training materials, enhancing their practical skills.

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Identify target audience and learning objectives.
Research and develop content.
Design and create engaging training materials.

Develop a compliance training module

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Creating a compliance training module will help you understand the key elements of an effective compliance program.

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Identify the target audience for your training module.
Develop learning objectives for your module.
Create content that is engaging and informative.
Test your module with a pilot group.
Revise your module based on feedback.

Conduct a Compliance Audit

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Provides students with hands-on experience in conducting a compliance audit, giving them a practical understanding of the complexities and challenges involved.

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Define the scope and objectives of the audit.
Gather and review relevant documentation.
Conduct interviews and site visits.
Analyze findings and prepare a report.

Implement a compliance program in a mock organization

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Implementing a compliance program in a mock organization will allow you to apply the principles you learn in this course to a real-world setting.

Browse courses on Compliance Management

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Develop a compliance policy for your mock organization.
Create a compliance training program for your employees.
Implement a compliance monitoring system.
Conduct a compliance audit to assess the effectiveness of your program.

Career center

Learners who complete Effective Compliance Programs will develop knowledge and skills that may be useful to these careers:

Compliance Officer

Compliance Officers develop and manage compliance programs. They must ensure that their organizations comply with all applicable rules and regulations. Those pursuing a career as a compliance officer would especially benefit from the module on how organizations can effectively implement a culture of compliance. Having a background in psychology or marketing would also be especially beneficial in this career.

See salaries and explore the career path for Compliance Officer

Compliance Analyst

Compliance Analysts are responsible for monitoring and assessing compliance with laws and regulations. They may also be responsible for developing and implementing compliance policies and procedures. Taking a course in compliance would immediately set a Compliance Analyst apart from others in the field; especially one that focuses on psychology in compliance.

See salaries and explore the career path for Compliance Analyst

Legal Counsel

Legal Counsel advises clients on legal matters and represents them in court. They must be familiar with all applicable laws and regulations. A strong background in compliance would give Legal Counsel a leg up on the competition; especially with an understanding of the psychology of compliance. With a law degree, taking courses and getting certificates in compliance and business can help them excel in their career in legal counsel.

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Human Resources Manager

Human Resources Managers are responsible for managing all aspects of human resources, including compliance with employment laws and regulations. Understanding compliance inside and out is absolutely necessary to be a successful HR manager. Taking a course in compliance would provide HR managers with a competitive advantage, especially one that focuses on psychology and building a culture of compliance.

See salaries and explore the career path for Human Resources Manager

Corporate Secretary

Corporate Secretaries are responsible for ensuring that their organizations comply with all applicable laws and regulations. They also serve as a liaison between the board of directors and management. The course's focus on the psychology of compliance would be especially helpful for corporate secretaries.

See salaries and explore the career path for Corporate Secretary

Sales Manager

Sales Managers are responsible for leading and managing sales teams. They must be familiar with all applicable laws and regulations, including those governing sales and marketing. Coursework in compliance may help sales managers stay ahead of the latest compliance regulations and help them to implement effective compliance programs within their organizations. Especially with a focus on the psychology of compliance and non-compliance.

See salaries and explore the career path for Sales Manager

Marketing Manager

Marketing Managers are responsible for developing and executing marketing campaigns. They must be familiar with all applicable laws and regulations, including those governing advertising and marketing. Taking a course in compliance could be especially helpful for marketing managers. Especially the material in this course that covers the psychology of why people do and do not follow the rules.

See salaries and explore the career path for Marketing Manager

Operations Manager

Operations Managers are responsible for managing the day-to-day operations of their organizations. They must be familiar with all applicable laws and regulations, including those governing safety and environmental protection. The modules on how to design and effectively implement a compliance program would be especially beneficial to operations managers.

See salaries and explore the career path for Operations Manager

Quality Assurance Manager

Quality Assurance Managers are responsible for ensuring that their organizations' products and services meet all applicable standards. They must be familiar with all applicable laws and regulations, including those governing quality control. Coursework in compliance would provide quality assurance managers with a competitive advantage, especially the course material on the psychology of compliance.

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Procurement Manager

Procurement Managers are responsible for managing the procurement of goods and services. They must be familiar with all applicable laws and regulations, including those governing procurement. Taking a course in compliance would provide procurement managers with a competitive advantage, especially the module on the essentials of compliance.

See salaries and explore the career path for Procurement Manager

Supply Chain Manager

Supply Chain Managers are responsible for managing the flow of goods and services from suppliers to customers. They must be familiar with all applicable laws and regulations, including those governing supply chain management. A course in compliance may be helpful to supply chain managers. Especially since the course covers material on dealing with non-compliance.

See salaries and explore the career path for Supply Chain Manager

Business Analyst

Business Analysts are responsible for analyzing and improving business processes. They must be familiar with all applicable laws and regulations, including those governing business analysis. Taking a course in compliance may be helpful to business analysts, especially the material on building a strong culture of compliance.

See salaries and explore the career path for Business Analyst

Information Technology Manager

Information Technology Managers are responsible for managing the information technology systems of their organizations. They must be familiar with all applicable laws and regulations, including those governing information security. Taking a course in compliance could potentially be helpful for Information Technology managers.

See salaries and explore the career path for Information Technology Manager

Financial Manager

Financial Managers are responsible for managing the financial resources of their organizations. They must be familiar with all applicable laws and regulations, including those governing financial reporting. Taking a course in compliance may be helpful to financial managers, especially in understanding the psychology of why non-compliance happens and strategies for getting people to comply.

See salaries and explore the career path for Financial Manager

Healthcare Manager

Healthcare Managers are responsible for managing the operations of healthcare organizations. They must be familiar with all applicable laws and regulations, including those governing healthcare. Taking a course in compliance would provide healthcare managers with a competitive advantage and help them better understand the psychology of regulations in the healthcare industry.

See salaries and explore the career path for Healthcare Manager

Reading list

We've selected seven 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 Effective Compliance Programs.

Persuasion

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This foundational book in the field of compliance explores the psychological principles behind why people comply with or resist rules and regulations.

Effective Compliance Programs

What's inside

Syllabus

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Reviews summary

Overview of effective compliance programs

Activities

Career center

Reading list

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