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08:30 – 09:00

Registration and Welcome Coffee (provided)

09:00 – 09:15      Welcome and Introduction
09:15 – 10:30       

Introduction to Compliance

  • High level overview of the seven elements of a compliance program
  • Practice and problems for the compliance professional discussed
  • Highlight of areas of key importance to compliance program
10:30 – 10:45        Break
10:45 – 12:30       

Organizational Ethics

  • What it is
  • Legal and business value
  • Practice steps to create and maintain
12:30 – 13:30        Lunch (provided)
13:30 – 15:15       

Education and Training

  • The need for compliance and ethics training
  • The difference between training and education
  • Different types and methods of training; targeted training
  • Demonstrating training effectiveness
15:15 – 15:30         Break
15:30 – 17:15        

Compliance Infrastructure

  • An understanding of what is included in the CP infrastructure
  • Positions vital to the CP’s infrastructure
  • Staffing the compliance program and reporting structures


08:30 – 09:00       Welcome Coffee (provided)
09:00 – 10:45     

Creating and Reviewing Compliance Policies and Procedures

  • Definitions of standards of conduct, policies, procedures, guidelines
  • Elements of policies and procedures
  • Ownership and reviewing policies and procedures

10:45 – 11:00       


11:00 – 12:45      

Compliance and Ethics Risk Assessment

  • Define compliance risk and how to assist with role clarity
  • Discuss the rationale and key cultural and management variable important to conducting a risk assessment
  • Identify common methodologies and process for conducting a risk assessment
12:45 – 13:45        Lunch (provided)

13:45 – 14:00      

Test Question and Answer
14:00 – 15:15       

Discipline and Program Improvement

  • Importance of discipline
  • Responsibilities in discipline process
  • Elements of program improvement
15:15 – 15:30        Break
15:30 17:15       


  • Understand the investigations management process
  • Learn important investigation techniques
  • Know the key steps of every workplace investigation
17:15– 18:15         Networking Reception


08:30 – 09:00       Welcome Coffee (provided)
09:00 – 10:45     

Auditing and Monitoring

  • Role of auditing and monitoring in the compliance program
  • Development of monitoring/auditing plans for effective assurance
  • The future of compliance program auditing and monitoring


10:45 – 11:00       Break
11:00 – 12:45      


  • Overview of key privacy laws and regulations that could impact a US or global organization
  • Basic high-level introduction to law and regulations in all segments of industry
  • Laws and regulations from both the private and governmental industry segments
  • Law and regulations for activities in the US, Europe, Asia, and other areas of the world
12:45 – 13:45       Lunch (provided)
13:45 – 15:00      

 Obtaining Buy-in and Commitment

  • Understanding management/leadership styles
  • Developing methods to help in getting the buy-in that is needed for an effective compliance program
15:00 – 15:15       Break
15:15 – 17:00      

E&C Programs: Effectiveness and Evaluation

  • Overview of essential components of E&C program effectiveness to include core elements of program design, implementation, and effective management, among other key areas
  • Explore effectiveness considerations across program elements to include value proposition, organization impact, global standards, stakeholder expectations, and best practices
  • Consider methods, tools, and resources for evaluation effectiveness, and suggested steps for managing program risks and taking your program to the next level


08:30 –09:00      Welcome Coffee (provided)

09:00 – 10:00     

Using Incentives in the Compliance Program

  • Explore the different ways to use incentives, including personnel evaluations, rewards and awards, and giving compliance a role in promotion decisions
  • Understanding importance of company incentive programs in general and why the compliance officer needs a seat at the table when any corporate incentive system is being developed
  • Understanding the difficult question “Should those who report fellow employees get rewards for doing so?”
10:00 – 10:15       Break
10:15 – 11:30      

Conflicts of Interest

  • Conflicts of interest are some of the most common and challenging issues for compliance and ethics programs
  • This session is designed to assist compliance professionals in understanding ethical and organization risks that result from conflicts of interest
  • This session will review the many kinds of conflicts of interest and how they occur, case studies, and best practices
11:30 – 11:45       Break
11:45 – 13:15     

Anti-Corruption and Bribery

  • Global law enforcement efforts
  • Practical hands-on approach
  • Effective compliance remediation approaches
13:15 – 14:15       Lunch (provided)
14:15 – 14:45      

Exam Check-In Time (optional)

14:45  18:15

Exam Time – Certified Compliance & Ethics Professional-International (CCEP-I)®   Exam (optional)

The exam is optional. You must apply and be approved to sit for the CCEP-I exam by CCB, separately from your academy registration. To apply online, go to: Academy and certification exams offered are only in English at this time.