Regulatory Compliance Specialist

What is Compliance?

• What is compliance? we answer those questions while also looking at some recent high-profile cases of non-compliance in the business world.
• Why is Compliance Important? Non-compliance can have massive real-world implications for the general public, not just individuals directly related to a non-compliant company. We examine laws that specifically create compliance obligations, as well as the potential costs of non-compliance.
• Compliance & Risk: Every company and organization must deal with risk, and compliance is ultimately a vehicle to mitigate risk. This module explores the close relationship between compliance and risk management. We will analyze the ways in which compliance programs manage risk, as well as alternative forms of risk management.
• Developments in the Field of Compliance: This module highlights developments in the ever-evolving world of compliance, with special emphasis on recent trends in regulatory focus.

Effective Compliance Programs

• 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.

Privacy Law and Data Protection

• Privacy: Legal Issues, Landscape & Chronology: We begin our study of privacy and data protection with a brief look at the development of privacy law in the U.S. Then we examine the Fair Information Principles that provide the foundation of modern privacy and data protection programs.
• HIPAA: How does a privacy law actually operate? This module looks at privacy and data protection in action, specifically using HIPAA as the framework.
• Security & Breach Notification: What is data protection actually protecting us from? This module looks at the threats to data security and the processes that exist for dealing with a data breach.
• Other Ways that Privacy is Regulated: As massive privacy breaches continue to happen, more regulatory bodies are taking on privacy concerns. This module examines the important role of the Federal Trade Commission and concludes with a close look at the General Data Protection Regulation recently passed by the European Union.

What is Corruption: Anti-Corruption and Compliance

• Corruption – What is it? Where is it?: What is corruption? Why does it exist? Where does it exist? We begin this course by answering those important threshold questions.
• Anti-Corruption Laws: How has the law responded to corruption? This module examines the specific anti-corruption laws that govern the business world, with special emphasis on the Foreign Corrupt Practices Act.
• Anti-Corruption Compliance Programs (aka How to Avoid Corruption Issues): How do you combat corruption? This module looks at the policies, procedures, and trainings used to combat corruption, and also examines corruption risk and potential warning signs.
• Preventing Corruption: Can you stop corruption before it starts? This module looks at specific preventative measures such as anti-corruption policies, contract provisions, and surveillance.