Certified Compliance and Ethics
Professional (CCEP) Practice
Questions 2024-with 100% Correct
Answers
Who handles non-retaliation? Which dept? - ANSWER HR
What handles record mgmt/retention? Which dept? - ANSWER Legal
What handles employee handbook, employee performance, FMLA? Which dept? -
ANSWER HR
Who develops controls, policies, procedures and systems? - ANSWER Compliance
Who handles sensitive investigations? - ANSWER Legal
What is structural policy? - ANSWER Framework
What is substantive policy? - ANSWER Define regs and the how
What is "tone in the middle?" - ANSWER Managers must demonstrate
their commitment to compliance.
, First step prior to launching a compliance program? - ANSWER Baseline
risk assessment
If misconduct is found, what are the two areas that are important to fix the issue? -
ANSWER Enforcement and discipline
What is a typical discipline process? - ANSWER Verbal warning - written warning -
unpaid suspension - termination
Punishment should match the? - ANSWER Offense
Who is responsible for compliance? - ANSWER Everyone
What is a retrospective audit? - ANSWER Comprehensive inspection -
potential problem identified THEN investigated
What is a concurrent aduit? - ANSWER Ongoing investigation - identified problems as
they arise
Which audit is the best way to change behavior? - ANSWER Concurrent Audit
Professional (CCEP) Practice
Questions 2024-with 100% Correct
Answers
Who handles non-retaliation? Which dept? - ANSWER HR
What handles record mgmt/retention? Which dept? - ANSWER Legal
What handles employee handbook, employee performance, FMLA? Which dept? -
ANSWER HR
Who develops controls, policies, procedures and systems? - ANSWER Compliance
Who handles sensitive investigations? - ANSWER Legal
What is structural policy? - ANSWER Framework
What is substantive policy? - ANSWER Define regs and the how
What is "tone in the middle?" - ANSWER Managers must demonstrate
their commitment to compliance.
, First step prior to launching a compliance program? - ANSWER Baseline
risk assessment
If misconduct is found, what are the two areas that are important to fix the issue? -
ANSWER Enforcement and discipline
What is a typical discipline process? - ANSWER Verbal warning - written warning -
unpaid suspension - termination
Punishment should match the? - ANSWER Offense
Who is responsible for compliance? - ANSWER Everyone
What is a retrospective audit? - ANSWER Comprehensive inspection -
potential problem identified THEN investigated
What is a concurrent aduit? - ANSWER Ongoing investigation - identified problems as
they arise
Which audit is the best way to change behavior? - ANSWER Concurrent Audit
