Building Effective Compliance Programs

2.0 substantive credits

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.


Profile


Lauren Steinfeld

Lecturer in Law

Lauren B. Steinfeld serves as Chief Privacy Officer for Penn Medicine and Senior Advisor for Privacy for the University of Pennsylvania. In this position, Ms. Steinfeld leads and oversees the HIPAA compliance program and other privacy initiatives for Penn’s six hospitals, over 250 physician practices, and the School of Medicine research program. She works on institution-wide training, policy development, and systems monitoring initiatives as well as evaluating individual strategic partnerships with data sharing elements. Ms. Steinfeld previously served as Senior Advisor for Privacy and Compliance and as Chief Privacy Officer focusing on University-specific issues. In those positions, she created, for the first time in higher education, an infrastructure for an institution-wide privacy program. Ms. Steinfeld developed and implemented policies, procedures, risk assessment models, risk mitigation strategies and other initiatives to protect the privacy and security of personal information. She addressed issues in cloud computing, social media, electronic information, courseware, location data, internal information systems risk assessments, FERPA compliance, HIPAA compliance, and incident response. Ms. Steinfeld also helped create Penn’s infrastructure for its institutional compliance program, with components including a telephone and web-based hotline, non-retaliation, policy coordination and awareness, self-assessments in functional compliance areas, and reporting to senior leadership on priority compliance activities. Ms. Steinfeld is now teaching a Privacy Law course, with Professor Anita Allen at Penn Law. She will teach again this Spring with Professor Christopher Yoo. Prior to her work at Penn, Ms. Steinfeld worked at the Office of Management and Budget as the Associate Chief Counselor for Privacy. At OMB, Ms. Steinfeld helped the Clinton Administration develop the HIPAA medical privacy regulations. She was also responsible for a wide range of other privacy issues, including financial and online privacy, identity theft, genetic information, cybersecurity, government information systems, and tax data confidentiality.. Before arriving at OMB, Ms. Steinfeld served as Attorney Advisor to Federal Trade Commissioner Mozelle Thompson. As an advisor, she was involved in the legal and policy aspects of some of the first Internet- and privacy-related cases brought by the FTC. Ms. Steinfeld received her B.A. from the University of Pennsylvania, graduating Phi Beta Kappa and magna cum laude. She received her J.D. in 1992 from New York University School of Law.
Profile


Andrew Kandel

Lecturer in Law

Mr. Kandel is the Global Chief Compliance Officer, Senior Legal Counsel and a Senior Managing Director of Cerberus Capital Management, L.P., one of the world’s leading private investment firms. Mr. Kandel joined Cerberus in 2007 overseeing the compliance function of the firm’s private equity, lending, real estate and trading activities across 18 offices worldwide. He is a member of the firm’s Compliance and Risk Management Committee, Valuation Committee, Brokerage Committee, Allocation Committee, Securities Compliance Committee and Financial Risk Management Sub-Committee and is the Chair of the Environmental, Social and Governance Committee. Prior to joining Cerberus, Mr. Kandel was First Vice President and Assistant General Counsel at Merrill Lynch from 1998 to 2007, where he was in charge of state regulation, legislation and government relations and also handled various SEC, NYSE, NASD and compliance-related matters. Before working at Merrill Lynch, from 1995 to 1998, Mr. Kandel was the Chief of the Investor Protection & Securities Bureau at the New York State Attorney General’s Office, where he also served as Assistant Deputy Attorney General assisting in the oversight of the other Public Advocacy Bureaus: Antitrust, Charities, Civil Rights, Consumer Fraud, Environmental and Real Estate Finance. During his tenure, the Attorney General’s Office prosecuted numerous securities fraud cases, both criminal and civil, and conducted public hearings on Microcap Securities Fraud and Discrimination on Wall Street. From 1993 to 1995, Mr. Kandel was Senior Special Counsel, then Trial Counsel, at the Enforcement Division of the New York Stock Exchange. From 1986 to 1993, Mr. Kandel was an Assistant District Attorney in Manhattan where he investigated and prosecuted hundreds of criminal matters ranging from Arson and Robbery to Grand Larceny and Murder. Mr. Kandel graduated magna cum laude from the University of Pennsylvania with a BA in Economics and Political Science. He also graduated from the University of Pennsylvania Law School where he is currently a Lecturer in Law teaching classes in Corporate Governance and Compliance.


Your Instructor


University of Pennsylvania Carey Law School
University of Pennsylvania Carey Law School

Course Curriculum


  Building Effective Compliance Programs
Available in days
days after you enroll

Frequently Asked Questions


When does the course start and finish?
The course starts now and never ends! It is a completely self-paced online course - you decide when you start and when you finish.
How long do I have access to the course?
How does lifetime access sound? After enrolling, you have unlimited access to this course for as long as you like - across any and all devices you own.
What if I am unhappy with the course?
We would never want you to be unhappy! If you are unsatisfied with your purchase, contact us in the first 30 days and we will give you a full refund.

Get started now!