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Effective Compliance Programs

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.

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.

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.

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.

Good to know

Know what's good

, what to watch for

, 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

Engaging compliance education

Learners say Effective Compliance Programs offers engaging assignments and top-notch instructors to teach you how to develop and implement effective compliance programs. This course provides a strong foundation to ensure companies comply with laws and regulations and is consistent with ethical principles.

This course utilizes peer-to-peer assignments for valuable feedback.

"The peer-to-peer assignments were particularly valuable, allowing us to learn from one another's experiences and perspectives."

The course covers a wide range of topics essential for compliance professionals.

"This course is not for students only, but for the professionals who are leading their organizations and resposible for Compliance and ethical activities."

"this course is more like a professional certification for a Compliance practitioner."

The instructors are knowledgeable, relatable, and experienced.

"Overall exceptional experience: Extremely useful, engaging, well organized content"

"The best instructor I have ever had."

Practical advice and real-world examples make this course applicable to real-life situations.

"Excellent practical course! I learned a lot about building compliance procedures in my company."

"Even if you already have hands-on experience in compliance, it still teaches you new practical strategies on how to improve your program."

The course includes a disclaimer that may reduce the value of the certificate.

"the certificate has a huge disclaimer stamped to the front of it which says its not a degree, its not the same as taking it on campus, it has no credit, and completely marginalizes the effort of the individual."

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

Show steps

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

Browse courses on Compliance Regulations

Show steps

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

Review Human Psychology

Show steps

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

Show steps

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

Connect with Compliance Professionals

Show steps

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

Show steps

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

Expand to see all activities and additional details

Show all nine activities

Volunteer with a Compliance Organization

Show steps

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

Show steps

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

Attend Compliance Conferences and Events

Show steps

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

Show steps

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

Develop Compliance Training Materials

Show steps

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

Show steps

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

Develop a compliance training module

Show steps

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

Show steps

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

Show steps

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

Show steps

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

Show steps

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

Show steps

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.

See salaries and explore the career path for Legal Counsel

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

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

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

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

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

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.

See salaries and explore the career path for Quality Assurance Manager

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

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

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

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

Three deals to help you save

What's inside

Syllabus

Good to know

Save this course

Reviews summary

Engaging compliance education

Activities

Career center

Reading list

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