Certified Compliance & Ethics Professional (CCEP) Exam Guide

1. ADevelop, review, or update operational policies and procedures
2. BConsult with appropriate subject matter resources
3. CAssure the compliance and ethics strategic plan is in alignment with the overall business objectives
4. DMaintain a code of conduct that ensures organizational value statements reflect a commitment to a culture of integrity
5. EAssure policies address interactions with third parties and are reflected in contractual agreements
6. FDocument the compliance and ethics program

1. AAdminister compliance program
2. BCollaborate internally and externally with others to institute best practices
3. CManage the aspects of the compliance oversight committee
4. DMaintain knowledge of relevant laws and regulations
5. ERecognize the need for external expertise
6. FVerify that the governing authority understands its responsibilities related to the compliance and ethics program and culture

Example scenario: The board asks for assurance that the compliance program works. What would you report, and how would you show its effectiveness?

1. ACommunicate general and targeted compliance and ethics information throughout the organization
2. BEvaluate the effectiveness of compliance and ethics training
3. CAssure that employees are aware of their obligation to seek guidance and clarification and report misconduct
4. DAssure that employees are aware of their job-specific compliance and ethics responsibilities
5. EPromote a culture of compliance and ethics throughout the organization
6. FIdentify and train individuals that receive questions and concerns on how to identify potential compliance and ethics issues
7. GManage a compliance and ethics education program

1. AProtect anonymity and confidentiality within legal and practical limits for individuals reporting issues
2. BDevelop and publicize the reporting methods to employees, vendors, and third parties
3. CDevelop processes and/or monitor for organizational misconduct
4. DDevelop risk-based audit plans, conduct audits, and analyze results
5. EEnsure audit results from external entities are addressed
6. FEvaluate the effectiveness of the compliance and ethics program
7. GInclude compliance and ethics questions in exit interviews

Example scenario: Hotline reports from one region have dropped to zero after a reorganization. What would you check?

1. AAssure that discipline is proportionate to violation, consistent across the organization, and documented
2. BEncourage incentives for compliant and ethical behavior, including metrics for performance evaluations
3. CAssure compliance with the organization's non-retaliation policy
4. DRespond to compliance and ethics concerns
5. EReport investigative findings through appropriate channels within the organization
6. FAssure management develops corrective action plans in response to noncompliance
7. GMonitor the effectiveness of corrective action plans
8. HConduct internal investigations and maintain records
9. IRespond to government inquiries and investigations
10. JCollaborate with decision makers regarding voluntary disclosure process
11. KCoordinate investigations to preserve applicable privileges

Example scenario: A manager is accused of retaliating against an employee who raised a concern. What are your first steps?

1. AAssure the risk assessment methodology is scalable for the organization
2. BAssure compliance and ethics risk assessments are conducted across the organization
3. CAssure management action plans are developed and executed based on risk assessment findings
4. DAssure due diligence is performed on third parties