Compliance Systems

Catalog description

This course is designed to introduce students to the basic concepts and fundamentals of the compliance function within a company or organization. It will focus on (1) the drivers behind the development of rules (2) practical issues involved in rule creation (3) the process of training, or selling, rule systems to the appropriate people (4) policing compliance, including investigations and enforcement of rules, and (5) the consequences of failing to operate a compliance program or doing it wrong. The course relies upon case studies from businesses and organizations, with an emphasis on real life situations and problem solving techniques. A primary argument of the course is that appropriate and efficient internal compliance will support the central mission of the business and control costs.