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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.

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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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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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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
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
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
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
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
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
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
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
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
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.

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.
Explores the psychology behind why people comply with requests. It valuable resource for anyone who wants to understand how to influence behavior.
This guide provides a comprehensive overview of the Health Insurance Portability and Accountability Act (HIPAA) and its implications for covered entities. It valuable resource for anyone who wants to comply with HIPAA.
This comprehensive handbook provides practical guidance on compliance and ethics issues, including risk management, internal controls, and corporate governance.
This accessible guide provides a straightforward overview of compliance concepts and requirements, making it a good starting point for beginners.
This concise guide is tailored specifically for small business owners, providing practical advice on building and maintaining a culture of compliance within their organizations.

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