Introduction

The Society of Corporate Compliance and Ethics (SCCE) offers certifications that validate a professional’s knowledge and expertise in corporate compliance and ethics. This 5-day intensive training course is designed to prepare participants for the SCCE certification exam by providing a comprehensive understanding of compliance program development, risk management, ethical decision-making, and legal requirements. With a growing need for organizations to comply with regulations and foster ethical cultures, this course prepares professionals to navigate complex compliance landscapes and contribute to maintaining integrity within organizations.

Course Objectives

By the end of this training, participants will:

1. Understand the components of an effective compliance program, including governance, policies, training, monitoring, and enforcement.
2. Gain knowledge of the legal frameworks governing compliance, including anti-corruption, anti-money laundering (AML), and data protection laws.
3. Develop skills to manage compliance risks, identify compliance issues, and resolve ethical dilemmas within corporate settings.
4. Learn best practices for developing and implementing compliance training and communication strategies.
5. Understand the importance of ethics and integrity in compliance programs and how to promote an ethical culture within organizations.
6. Be fully prepared to take the SCCE certification exam and demonstrate expertise in corporate compliance and ethics.

Who Should Attend?

This course is ideal for:

• Compliance officers, risk management professionals, and ethics officers seeking SCCE certification to advance their careers.
• Legal professionals, auditors, and corporate governance experts looking to deepen their understanding of compliance and ethics management.
• Individuals responsible for ensuring regulatory compliance and ethical behavior within organizations.
• Professionals seeking to earn the SCCE certification to validate their expertise and improve their marketability in the compliance and ethics field.

Day 1: Introduction to Compliance and Ethics

• Session 1: Overview of SCCE Certification

  • SCCE certification structure, exam requirements, and eligibility
  • Key competencies: Compliance program elements, regulatory frameworks, ethical decision-making, risk management
  • The role of compliance officers in organizations and the importance of corporate ethics

• Session 2: Foundations of Corporate Compliance and Ethics

  • Defining corporate compliance and ethics: Key concepts, goals, and objectives
  • The role of corporate compliance in protecting organizations and promoting ethical behavior
  • Legal and regulatory compliance: How laws shape corporate behavior (anti-corruption, AML, data protection)
  • The value of compliance in maintaining corporate integrity and stakeholder trust

• Session 3: Compliance Governance and Oversight

  • Compliance governance structure: Board of directors, senior management, and compliance function
  • The role of the compliance officer in governance and corporate decision-making
  • Ensuring independence of the compliance function and reporting lines
  • Creating a culture of compliance at all organizational levels

Day 2: Legal and Regulatory Frameworks

• Session 4: Understanding Global Compliance Regulations

  • Key global regulations affecting corporate compliance: FCPA, UK Bribery Act, GDPR, CCPA
  • The impact of international regulations on global operations and compliance programs
  • Regulatory bodies and their role in enforcing compliance: SEC, DOJ, FINRA, European Commission
  • Cross-border compliance issues and challenges

• Session 5: Anti-Corruption, Anti-Bribery, and Money Laundering Laws

  • FCPA and UK Bribery Act compliance: Anti-bribery policies and risk assessments
  • Preventing and detecting corruption: Due diligence, reporting mechanisms, and controls
  • Anti-money laundering (AML) regulations: KYC, transaction monitoring, and suspicious activity reporting
  • Real-world examples of compliance violations and enforcement actions

• Session 6: Data Protection and Privacy Laws

  • Data protection laws: GDPR, CCPA, HIPAA, and their impact on corporate compliance
  • Privacy principles: Data minimization, consent, transparency, and security
  • Understanding risk management in data privacy and breach prevention
  • Creating and maintaining effective privacy policies and programs

Day 3: Risk Management and Compliance Program Development

• Session 7: Risk-Based Approach to Compliance

  • Introduction to the risk-based approach: Identifying, assessing, and mitigating compliance risks
  • Risk assessment methodologies and tools: Risk mapping, scoring, and mitigation strategies
  • Implementing a risk-based compliance program tailored to the organization’s needs
  • The role of internal audits in risk management and compliance monitoring

• Session 8: Developing a Compliance Program

  • Key components of an effective compliance program: Policies, procedures, training, and enforcement
  • Building a compliance framework aligned with business goals and regulatory requirements
  • Ensuring the program’s effectiveness: Monitoring, audits, and continuous improvement
  • Engaging stakeholders and obtaining management buy-in for compliance initiatives

• Session 9: Implementing Compliance Policies and Procedures

  • Writing and implementing compliance policies: Clear, accessible, and tailored to the organization
  • Creating standard operating procedures (SOPs) for compliance-related activities
  • Communication strategies for policy implementation: Training, employee engagement, and awareness
  • Best practices for policy enforcement and ensuring compliance across the organization

Day 4: Ethics, Culture, and Communication

• Session 10: Promoting an Ethical Culture

  • Creating an ethical corporate culture: Leadership, integrity, and values
  • The role of ethics in compliance: Decision-making, conflict resolution, and ethical leadership
  • Ethical dilemmas and resolving conflicts of interest in corporate environments
  • Building employee trust through ethical leadership and transparent communication

• Session 11: Compliance Training and Awareness Programs

  • Designing and delivering effective compliance training programs: Adult learning techniques and engagement strategies
  • Ensuring ongoing training and awareness: Periodic refresher courses and updates on new regulations
  • Assessing the effectiveness of compliance training programs and continuous improvement
  • Managing a learning management system (LMS) for compliance tracking and reporting

• Session 12: Communication and Reporting in Compliance

  • Effective communication strategies for compliance officers: Internal and external communications
  • Reporting compliance issues to management, regulatory bodies, and stakeholders
  • Whistleblower programs and reporting mechanisms for ethical concerns
  • Managing crisis communication in compliance violations and incidents

Day 5: SCCE Exam Review and Case Studies

• Session 13: Exam Preparation and Review

  • Key concepts to focus on for the SCCE certification exam: Compliance frameworks, risk management, global regulations, ethics
  • Practice exam questions and review of answers
  • Exam-taking strategies: Time management, question analysis, and exam readiness
  • Final Q&A session to address remaining questions and reinforce learning

• Session 14: Case Studies and Practical Applications

  • Real-world case studies of corporate compliance programs and violations
  • Analyzing the effectiveness of compliance programs in different industries
  • Discussing challenges and best practices for overcoming compliance risks
  • Group discussion on lessons learned and practical applications in everyday work

• Session 15: Final Exam Strategies and Certification Tips

  • Personalized tips for exam success and how to navigate difficult questions
  • Final preparation strategies and mindset for passing the SCCE certification exam
  • Recap of the certification process and how to maintain compliance credentials