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Ethics & Compliance Law: Culture, Trust, & Program Design

University of Illinois at Urbana-Champaign via Coursera

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Details

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Provider

Coursera
Pricing

Paid Course
Languages

English
Certificate

Certificate Available
Effort

2 weeks, 6 hours a week
Sessions

Self-Paced
Level

Beginner
Subtitles

English

Found in

Part of

Ethics and Compliance Law for Business Professionals

Overview

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This course is for professionals who build, manage, or advise on corporate ethics and compliance programs. You will begin with the culture, trust, and behavioral science that determine whether a program works in practice, including how regulators evaluate culture. You will then study the DOJ's framework for effective compliance programs, covering risk assessment, third-party due diligence, the code of conduct, training, and reporting channels. Finally, you will learn how to measure whether a program works through compliance function independence, monitoring, auditing, and continuous improvement.

Syllabus

Module 1: Building a Culture of Compliance
- You will learn how to define a culture of compliance using Schein's three levels of culture, how it differs from simply having a compliance program, and how trust affects whether employees follow rules and report concerns. You will also learn how incentives and ordinary psychology lead decent people toward misconduct, as in the Wells Fargo case, and how tone at the top and mood in the middle shape behavior. In addition, you will learn the financial case for ethical culture, how the DOJ credits culture in enforcement outcomes, and how individual choices build culture.
Module 2: Designing an Effective Compliance Program
- You will learn the three questions the DOJ uses to evaluate a corporate compliance program and how the U.S. Sentencing Guidelines define an effective program. You will also learn how to build a program around risk assessment, third-party due diligence, a code of conduct, tailored training, and reporting and non-retaliation systems. In addition, you will learn how to measure whether the program works, including the independence and resources of the compliance function, monitoring and auditing, and continuous improvement.