Governance, Risk Management, and Compliance

Catalog description

This course deals with the institutional dynamics that allow compliance officers to interact with business owners and regulators in order to properly risk-manage compliance requirements while creating and enforcing a code of conduct that champions an ethical corporate culture. The students are introduced to the Code of Ethics and corporate governance, including the role of the board of directors and executives in managing firms and overseeing risk management and regulatory compliance. The course covers the detection and handling of potential compliance lapses, including the conduct of investigations and the role of whistleblowers and attorney advisors. Students will explore the broader compliance functions of social responsibility, sustainability, and human rights. This course will be useful as a foundation for any student studying any highly regulated field where risk management is required, such as in the health care or finance settings.