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Corporate Ethics and Compliance Management in a Changing Environment

The topic of ethics and compliance has seemed to permeate every aspect of today's business operations including occupying a significant spot in today's business and professional curriculum.Yet, with all the discussion and awareness on the topic, significant ethical and compliance incidents continue to impact our daily lives. Earn CLE and CPE credits

Turning 'Theory' into 'Practice'?

Most professionals can recite leading practices suggested for managing a strong ethical environment or building a structured compliance program. In form most companies have varying degrees of these obvious attributes in place.The resources for implementing and executing those practices are abundant. Recognizing the importance of a companyís code of conduct and whistleblower hotlines, this unique seminar will take a practical look at the variables involved in creating and maintaining an ethical culture and building and maintaining a strong compliance program.We will examine how compliance professionals can truly impact those variables. This will be an interactive session which will engage participants in role play and scenario analysis. We will explore and discuss elements related to leading practice Ethics and Compliance Program. We will also be examining what are the leading compliance regulations in relations to ethics that need to be understood and managed accordingly. Participants will be invited to share their own scenarios during day one and solicit input from the instructor and other participants on managing through the dilemma.

Who should attend?

C-Level Executives, EVPs, SVPs, VPs, Directors, Compliance Leaders and other Senior ExecutivesLegal professionalsInternal Audit personnelCorporate Compliance officersControllers/Internal Controls & Compliance/IT/Audit

Key areas to be covered in the programme and documentation

Structure and Break-Down of a Comprehensive, Leading-Practice Ethics and Compliance Program

         Examining the pillars of a strong ethics and compliance program including:  Tone at the top- senior leadership accountability, support and engagement, internal and external audit, compliance leadership, legal.

         Identification and evaluation of policy requirements.

         Managing aspects of an ethics program including:  code of conduct, conflict of interest, whistleblower hotline, compliance programs and organizational roles.

         Align and Drive Core Values

         Developing your Compliance Organization

         Structured Policies and procedures that are right-sized to your organization

         Voice of the Employees

         Credible Enforcement and Discipline

         Participant presentation of their greatest challenges for maintaining an Ethics and Compliance program and roundtable discussion on potential solution alternatives.

Evolving the Role of the Compliance Leader- What you are Accountable for Now and will be in the Future

         Changing skill set and abilities

         Developing yourself in your role and championing the ethics message

         Challenges of internal collaboration and enforcement

         Participant role play using scenario examples  to evaluate how various incidents can contribute to how strong and sustainable the governance structure

         Examine how the compliance professionalís strategic balancing role related to independence, fiduciary and ethical duty and the corporate culture impact the governance structure.

Overview of Regulations Impacting Ethics and Compliance

         Understand how changing regulations and impact the corporate environment

         How to stay on top of new regulations and what it means to your organization

         Overview current discussions of compliance in global and emerging markets

o    Foreign Corrupt Practices Act- Updated 2012 Guidelines

o    UK Bribery Act

o    Whistle-blowing Provisions

o    Anti-money Laundering

o    Conflict Minerals Rule

Changing the Corporate Culture for the Better Business, Ethics and Compliance

  • Outline practical strategies that compliance professionals can utilize when working with management on governance topics

         Governance roles within organizations and the cause and effect impact of executing responsibilities.

         Navigating through difficult and perceived ethical situation.

         Incentive programs and compliance

         Driving Employee Engagement and Buy-In

         Compliance and Governance in relation to Social Media

Compliance Reviews, Creation of Policies and Procedures and Compliance Investigations

         Risk assessments/ERM

         Audit and monitoring

         Handing and management investigations

Driving Effective and Consistent Compliance Education

         Offer comprehensive and effective training

         Effective compliance training infrastructure that is updated and accessible

         Clear and consistent communications

         Track training records

         Guest Compliance Executives sharing their tactics

Identifying the Critical Attributes Impacting your Organizations Ethics and Culture Issues

         Understand how corporate behavior contributes to and impacts a companyís corporate governance and ethics processes.

         Participant role play using scenario examples  to evaluate how various incidents can contribute to how strong and sustainable the governance structure

         Examine how the compliance professionalís strategic balancing role related to independence, fiduciary and ethical duty and the corporate culture impact the governance structure.

Industry Practice Insights: Putting Theory into an Actionable Ethics Program

         Manage, monitor and evolve your Compliance and Ethics program

         Drive consistent compliance education proven tactics

         Engaging internal stakeholders to Ethics and Compliance goals

         Examine the structure and effective management practices of current compliance and ethics programs

Benefits to you

∑Provide the attendees the ability to interact and role-play various ethical scenarios and identify tactics and methods for mitigation which would work in their organization.

∑Examine the true psychological impact behind attributes that affect ethics and compliance issues and how they may be viewed with your corporate structure.

∑Examine the structure and how a comprehensive, leading-practice ethics and compliance program is built.

∑Understand how changing regulations and impact the corporate environment such as new FCPA guidelines, Whistle blowing provisions, Anti Money Laundering, etc.

∑Drive effective compliance education ∑Identify the critical attributes that impact your organizationís ethics and culture issues

∑Understand your evolving role as an Ethics and Compliance leader for today and in the future

∑Hear from guest compliance professionals regarding their successes and failures when working on their ethics compliance program.

 Earn CLE and CPE credits

Companies already benefiting include:

Duration of Course

2 Day Course

Course details

April 16-17, 2013 Chicago, IL

For more information about this course and upcoming course dates, please contact Emily Jones at or call 312.540.3000 ext 6714

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Further information

UK Enquiries: +44 (0) 203 002 3057

Non-UK Enquiries: +420 (0)2 5570 7246

North American Enquiries: +1 312 540 3000 X6714 or


"This course will allow my company to develop its existing strategies to a much greater and hopefully profitable level."

Managing Director, Tarmac