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Welcome & Introduction

8:55 – 9:00 am CST

Intro and Background to Compliance and Ethics Programs

  • History and evolution of compliance and ethics programs
  • Introduction to the required elements of a compliance & ethics program
  • Expectations of enforcement and regulators

9:00 – 10:15 am CST

10:15 – 10:30 am CST

Coffee Break

10:15 – 10:30 am CST

Standards and Procedures

  • Understanding the importance of written standards including policies, procedures, and the Code of Conduct
  • Form, function, and maintenance of written standards of conduct to support the compliance program
  • Types and purposes of written standards and procedures

10:30 am - 12:00 pm CST

Mid-Conference Break

12:00 – 12:30 pm CST

Governance, Oversight, and Authority

  • Compliance responsibilities at each level of an organization
  • Positioning and structure of the compliance function
  • Relationship with the board of directors

12:30 – 2:00 pm CST


Risk Assessment

  • Performing compliance risk assessments
  • Risk criteria to consider
  • Design and implementation of risk responses

9:00 – 10:45 am CST

Coffee Break

10:45 – 11:00 am CST

Due Diligence in Delegation of Authority

  • Identifying who has important compliance responsibilities
  • Issues with employee background checks
  • Due diligence for vendors and other third parties

11:00 am – 12:15 pm CST

Mid-Conference Break

12:15 – 12:45 pm CST

Communication & Training

  • Risk-based identification of training needs
  • Development and delivery of compliance training
  • Compliance and ethics-related communications

12:45 – 2:00 pm CST

Optional Networking Hour – use this hour to interact and engage with fellow attendees and instructors. Recap the last two days, ask questions, and make connections.

2:00 – 3:00 pm CST


Incentives and Enforcement

  • Active promotion of the compliance and ethics program
  • Use of incentives to encourage compliance
  • Discipline for identified wrongdoing

9:00- 10:15 am CST

Coffee Break

10:15 – 10:30 am CST

Monitoring, Auditing, and Reporting Systems

  • Understanding the essential aspects of auditing and monitoring
  • Developing the compliance auditing and monitoring plan
  • Techniques and approaches to auditing and monitoring

10:30 am – 12:30 pm CST

Mid-Conference Break

12:30 – 1:00 pm CST


  • Key steps in performing compliance investigations
  • Conducting effective interviews and gathering evidence
  • Concluding and reporting on investigations

1:00 – 2:15 pm


Response to Wrongdoing

  • Actions to take when wrongdoing is discovered
  • Performing root cause analysis
  • Designing and implementing remediation actions

9:00 – 10:15 am CDT

Coffee Break

10:15 – 10:30 am CST

Program Improvement

  • Methods of assessing performance of the compliance and ethics program
  • Focus on continuous improvement of the program
  • Internal vs. third party assessments

10:30 – 11:30 am CST

Coffee Break

11:30 – 11:45 am CST

Hot/Common Compliance Issues

  • Overview of FCPA, UK Bribery, and other anticorruption laws
  • Privacy and data security issues, including cybersecurity
  • Conflicts of interest

11:45 am – 1:00 pm CST

Coffee Break

1:00 – 1:15 pm CST

What is Next for Me and My Program?

  • Key skills necessary for compliance professionals
  • Taking action to have a successful career in compliance
  • Applying what you have learned to your compliance program

1:15 – 2:15 pm CST

Optional Networking Hour – use this hour to interact and engage with fellow attendees and instructors. Recap the last two days, ask questions, and make connections.

2:15 – 3:15 pm CST


All sessions for the Compliance & Ethics Essentials Workshop are Basic knowledge level:

Basic Program knowledge level is most beneficial to Compliance Professionals new to a skill or an attribute. These individuals are often at the staff or entry level in organizations, although such programs may also benefit a seasoned professional with limited exposure to the area.