CCEP Exam Prep

What you will be able to do

• You will be able to describe the role of a code of conduct and the standards-policies-procedures hierarchy that anchors element one of an effective compliance program.
• You will be able to explain compliance program governance: board oversight, the Chief Compliance Officer's autonomy, resources and access, and due diligence in delegating authority.
• You will be able to design risk-based communication and training that reaches all levels, including the board and senior management, and show how its effectiveness is measured.
• You will be able to distinguish monitoring from auditing and describe a reporting system that protects anonymity, confidentiality, and non-retaliation.
• You will be able to run a defensible internal investigation, apply consistent discipline and incentives, and take response and remediation steps that prevent recurrence.
• You will be able to conduct a periodic compliance risk assessment and use its results to tailor each element of the program.
• You will be able to connect the seven elements and the DOJ's three fundamental questions to the scenarios the CCEP exam tests.
• You will be able to answer scenario, "BEST", and "MOST appropriate" style CCEP questions with confidence.

What is inside

6 modules, 6 lessons. Each module ends in a graded quiz.

1. 01

   Standards, policies & procedures

   The code of conduct and the written standards, policies, and procedures that form the foundation of a compliance and ethics program, and the lifecycle that keeps them current, accessible, and enforceable.

   1 lessons · 5 quiz questions

2. 02

   Compliance program administration

   Governance and oversight of the program: the governing authority's responsibility, high-level personnel with overall and day-to-day responsibility, the Chief Compliance Officer's autonomy and resources, and due diligence in delegating authority.

   1 lessons · 5 quiz questions

3. 03

   Communication, education & training

   Element four: communicating standards and delivering effective, risk-based training to all levels of the organization, including the board and senior management, and measuring whether it works.

   1 lessons · 5 quiz questions

4. 04

   Monitoring, auditing & internal reporting

   Element five: monitoring and auditing to detect misconduct and evaluate program effectiveness, plus a reporting system (such as a helpline) that allows anonymity and confidentiality and protects against retaliation.

   1 lessons · 5 quiz questions

5. 05

   Response & investigation

   Elements six and seven: consistently enforcing standards through incentives and discipline, conducting defensible internal investigations, and responding to detected misconduct with remediation that prevents recurrence.

   1 lessons · 5 quiz questions

6. 06

   Risk assessment

   The periodic risk assessment that underlies the whole program: identifying and prioritizing compliance risks and using the results to design and tailor each of the seven elements so resources go where the risk is greatest.

   1 lessons · 5 quiz questions