Introduction

The Certified Compliance & Ethics Professional (CCEP) certification is a globally recognized credential that demonstrates expertise in managing compliance programs, ensuring ethical conduct, and adhering to regulatory requirements. This 5-day intensive training course is designed to provide participants with the knowledge, skills, and tools to develop, implement, and maintain effective compliance and ethics programs. As organizations face increasing regulatory scrutiny, ethical challenges, and the need to safeguard reputations, this course prepares professionals to navigate these complex environments, promote a culture of integrity, and mitigate risks associated with non-compliance.

Course Objectives

By the end of this training, participants will:

1. Understand the core concepts of compliance and ethics, and their application in various industries.
2. Learn how to establish and manage a compliance program that meets legal and regulatory requirements.
3. Gain proficiency in identifying and addressing ethical risks and fostering a culture of compliance within organizations.
4. Understand the key components of effective compliance programs: Governance, risk management, training, auditing, and monitoring.
5. Develop skills in managing investigations, reporting mechanisms, and handling compliance violations.
6. Be fully prepared to pass the CCEP exam and advance their career in compliance and ethics management.

Who Should Attend?

This course is ideal for:

• Compliance officers, ethics officers, legal professionals, and risk managers.
• Individuals seeking to pursue the CCEP certification to enhance their compliance expertise.
• Professionals involved in corporate governance, risk management, and regulatory compliance.
• Professionals in industries such as finance, healthcare, manufacturing, and government, looking to deepen their understanding of compliance and ethics programs.

Day 1: Introduction to Compliance & Ethics and Legal Frameworks

• Session 1: Overview of CCEP Certification

  • CCEP exam structure and eligibility requirements
  • Key competencies in compliance and ethics: Governance, risk management, regulatory requirements, and ethical leadership
  • The role of compliance and ethics officers in organizations

• Session 2: Legal and Regulatory Frameworks

  • Key compliance regulations: Anti-corruption, anti-money laundering (AML), Foreign Corrupt Practices Act (FCPA), GDPR, HIPAA
  • Understanding the role of regulatory bodies: SEC, OFAC, FINRA, local regulatory authorities
  • Navigating global compliance challenges and cross-border regulations
  • Legal principles of ethics and their impact on compliance

Day 2: Compliance Programs and Risk Management

• Session 3: Building an Effective Compliance Program

  • The 7 elements of an effective compliance program: Leadership, policies, training, monitoring, auditing, enforcement, and response
  • Developing compliance policies and procedures
  • Establishing a code of ethics and conduct
  • Roles and responsibilities of compliance officers and staff in program implementation

• Session 4: Risk Management in Compliance

  • Identifying, assessing, and prioritizing compliance risks
  • Conducting risk assessments and creating risk mitigation strategies
  • Integrating compliance risk management into corporate governance
  • Developing and implementing internal controls to reduce exposure to compliance risks

Day 3: Ethics and Governance in Compliance

• Session 5: Promoting Ethical Culture and Leadership

  • The importance of ethical leadership in compliance programs
  • Creating a culture of ethics and integrity in organizations
  • Ethical decision-making models and frameworks
  • Encouraging ethical behavior through training and communication

• Session 6: Corporate Governance and Compliance Oversight

  • The role of the board of directors in overseeing compliance programs
  • Governance structures and reporting lines for compliance officers
  • Internal and external audits: Best practices in governance oversight
  • Ensuring transparency, accountability, and continuous improvement in compliance programs

Day 4: Investigations, Audits, and Reporting

• Session 7: Conducting Investigations and Addressing Violations

  • How to conduct effective internal investigations: Planning, interviewing, evidence collection, and documentation
  • Managing whistleblower programs and ensuring confidential reporting
  • Handling compliance violations: Disciplinary actions, corrective measures, and remediation
  • Reporting compliance issues and managing public relations in case of a violation

• Session 8: Compliance Audits and Monitoring

  • The importance of compliance audits in detecting and preventing violations
  • Designing and executing internal audits and risk-based audits
  • Monitoring compliance and tracking the effectiveness of the program
  • Reporting audit findings and making recommendations for improvements

Day 5: Compliance Training, Communication, and Exam Preparation

• Session 9: Compliance Training and Awareness Programs

  • Designing and delivering compliance training programs
  • Methods for engaging employees and ensuring participation
  • Assessing the effectiveness of training programs and continuous education
  • Developing a communication plan to reinforce compliance values across the organization

• Session 10: International Compliance Considerations

  • Cross-border compliance challenges: International regulations and jurisdictional issues
  • Navigating global compliance risks and ensuring local compliance
  • Compliance challenges in multinational organizations and supply chains

• Session 11: CCEP Exam Preparation and Review

  • Review of key concepts and components of a compliance and ethics program
  • Practice exam questions and strategies for success
  • Exam-taking tips: Time management, understanding the question formats, and prioritizing focus areas
  • Final Q&A session and personalized preparation tips for the CCEP exam