CCEP COMPLIANCE AND ETHICS
PROFESSIONAL COMPREHENSIVE QUESTIONS
AND ANSWERS
◉ Compliance Officers.
Answer: Required to maintain Compliance and Ethics policies and
procedures.
◉ Decision Making.
Answer: Compliance Officers need to consult with appropriate
subject matter resources, HR, legal, and finance.
◉ Main Goal of Compliance Program.
Answer: Assure alignment between organization's mission, vision,
values, and the code of conduct.
◉ Requirement for Compliance Program.
Answer: To maintain a code of conduct.
◉ Organizational Value Statements.
Answer: Compliance Officers need to ensure that they reflect a
commitment to a culture of integrity.
,◉ Documentation for Compliance Plan.
Answer: Required documentation includes that the program is
documented, like a compliance manual or outlined plan.
◉ Governance Policies.
Answer: Documentation required that governance policies for the
compliance and ethics program are maintained.
◉ Reporting Structure.
Answer: Compliance Officer reports to a board of directors or audit
committee.
◉ Compliance Knowledge.
Answer: Maintain knowledge of relevant laws and regulations and
apply them to the organization's needs.
◉ Credibility of Compliance Program.
Answer: Compliance Officer assures that the program is credible and
run with integrity.
◉ External Expertise.
, Answer: Compliance Officer must recognize the need for outside
expertise.
◉ Governing Board Responsibilities.
Answer: Understand responsibilities related to compliance and
ethics program and culture.
◉ Resource Management.
Answer: Compliance Officer manages resources for the compliance
and ethics program, including finance and personnel resources.
◉ Integration into Business.
Answer: The Compliance Officer integrates the compliance and
ethics program into the business.
◉ Annual Work Plan.
Answer: Develop an Annual compliance and ethics work plan
annually.
◉ Risk Management.
Answer: Ensure the organization has processes in place to manage
identified risk areas like conflicts of interest, privacy, anti-
corruption, and anti-bribery.
PROFESSIONAL COMPREHENSIVE QUESTIONS
AND ANSWERS
◉ Compliance Officers.
Answer: Required to maintain Compliance and Ethics policies and
procedures.
◉ Decision Making.
Answer: Compliance Officers need to consult with appropriate
subject matter resources, HR, legal, and finance.
◉ Main Goal of Compliance Program.
Answer: Assure alignment between organization's mission, vision,
values, and the code of conduct.
◉ Requirement for Compliance Program.
Answer: To maintain a code of conduct.
◉ Organizational Value Statements.
Answer: Compliance Officers need to ensure that they reflect a
commitment to a culture of integrity.
,◉ Documentation for Compliance Plan.
Answer: Required documentation includes that the program is
documented, like a compliance manual or outlined plan.
◉ Governance Policies.
Answer: Documentation required that governance policies for the
compliance and ethics program are maintained.
◉ Reporting Structure.
Answer: Compliance Officer reports to a board of directors or audit
committee.
◉ Compliance Knowledge.
Answer: Maintain knowledge of relevant laws and regulations and
apply them to the organization's needs.
◉ Credibility of Compliance Program.
Answer: Compliance Officer assures that the program is credible and
run with integrity.
◉ External Expertise.
, Answer: Compliance Officer must recognize the need for outside
expertise.
◉ Governing Board Responsibilities.
Answer: Understand responsibilities related to compliance and
ethics program and culture.
◉ Resource Management.
Answer: Compliance Officer manages resources for the compliance
and ethics program, including finance and personnel resources.
◉ Integration into Business.
Answer: The Compliance Officer integrates the compliance and
ethics program into the business.
◉ Annual Work Plan.
Answer: Develop an Annual compliance and ethics work plan
annually.
◉ Risk Management.
Answer: Ensure the organization has processes in place to manage
identified risk areas like conflicts of interest, privacy, anti-
corruption, and anti-bribery.
