CCEP Compliance and Ethics Professional Exam
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1. These Compliance and Ethics Non-Retaliation, Record Management,
Policies and procedures must Conflict of Interest, Privacy, Security, and
exist Confidentiality
2. What are Compliance Officers Maintain Compliance and Ethics polices
required to do? and procedures
3. When making decisions, C.O. Consult with appropriate subject matter re-
need to.... sources, HR, legal, finance
4. A main goal of compliance pro- Assure Alignment between organization's
gram: mission, vision, values, and the code of
conduct
5. A main goal of compliance pro- to assure alignment of the compliance
gram is... and ethics strategic plan is consistent with
overall business objectives.
6. A requirement for compliance to maintain a code of conduct
program is...
7. C.O. needs to ensure what? Ensure organizational value statements
reflect a committment to a culture of in-
tegrity
8. What else does a CO ensure? The policies and procedures address reg-
ulatory and legal requirements.
9. Policies need to address what? Interactions/relationships with third-par-
ties, like vendors, business partners, and
competitors
10. What else is required in rela- That contractual agreements include com-
tion to third-parties? pliance and ethic standards.
11. What documentation is re- That the program is documented, like a
quired of a compliance plan? compliance manual/outlined plan.
12. That policies and procedures around spe-
cific identified risk area are maintained.
, CCEP Compliance and Ethics Professional Exam
Study online at https://quizlet.com/_cyj0fy
What else will a compliance
program document in regards
to risks?
13. What will a compliance pro- That the governance policies for the com-
gram document in regards to pliance and ethics program are main-
governance policies? tained.
14. Who does a Compliance Offi- A board of directors, or audit committee
cer report to?
15. What does a compliance offi- Reports compliance and ethics activity to
cer report and to whom? the internal governing body, like a board of
directors/audit committee
16. Who else does a compliance Gives reports of compliance and ethics ac-
officer report to? tivity to the senior business leader, like the
CEO or CFO
17. What does the CO coordinate Coordinates the operational aspects of the
inside the organization? compliance program with management,
like oversight committee and senior man-
agment.
18. Benchmarking Collaborate with others internally and ex-
ternally to institute best practices: what are
others doing in their program?
19. What is the CO responsible for To ensure the goals and objectives of the
in regards to goals of oversight oversight committee are achieved.
committee?
20. What knowledge is needed? Maintain knowledge of relevant laws and
regulations
21. How is knowledge of relevant Relevant laws and regulations are applied
laws used? to the needs of the organization.
22. CO assures what about the That it is credible and run with integrity.
compliance program?
, CCEP Compliance and Ethics Professional Exam
Study online at https://quizlet.com/_cyj0fy
23. What must a CO recognize? Recognize the need for outside expertise.
24. What does the governing Its responsibilities related to compliance
board need to understand? and ethics program and culture.
25. What does CO need to do in Make sure the role of counsel is defined.
regards to Legal Counsel?
26. What does the CO manage? Manages resources for the compliance
and ethics program, like finance and per-
sonnel resources.
27. What should the CO do in re- The CO integrates the compliance and
gards to the business? ethics program into the business.
28. Annually the CO needs to.... Develop an Annual compliance and ethics
work plan.
29. To manage risks, the CO.... ensures the organization has processes
inn place to manage identified risk areas,
like conflicts of interest, privacy, anti-cor-
ruption, and anti-bribery.
30. Compliance is responsible Background checks and screenings are
for... done: new hires, substantial authority per-
sonnel, third parties, government lists.
31. The organization needs to defined the authority of the compliance
have.... and ethics professional.
32. Compliance training includes disseminate relevant information on
emerging risk areas.
33. Compliance and Ethics Infor- communicated throughout the organiza-
mation should be... tion.
34. Should Compliance Training Targeted per needs; risk specific, orienta-
be general or targeted? tion, remedial.
35.
Study online at https://quizlet.com/_cyj0fy
1. These Compliance and Ethics Non-Retaliation, Record Management,
Policies and procedures must Conflict of Interest, Privacy, Security, and
exist Confidentiality
2. What are Compliance Officers Maintain Compliance and Ethics polices
required to do? and procedures
3. When making decisions, C.O. Consult with appropriate subject matter re-
need to.... sources, HR, legal, finance
4. A main goal of compliance pro- Assure Alignment between organization's
gram: mission, vision, values, and the code of
conduct
5. A main goal of compliance pro- to assure alignment of the compliance
gram is... and ethics strategic plan is consistent with
overall business objectives.
6. A requirement for compliance to maintain a code of conduct
program is...
7. C.O. needs to ensure what? Ensure organizational value statements
reflect a committment to a culture of in-
tegrity
8. What else does a CO ensure? The policies and procedures address reg-
ulatory and legal requirements.
9. Policies need to address what? Interactions/relationships with third-par-
ties, like vendors, business partners, and
competitors
10. What else is required in rela- That contractual agreements include com-
tion to third-parties? pliance and ethic standards.
11. What documentation is re- That the program is documented, like a
quired of a compliance plan? compliance manual/outlined plan.
12. That policies and procedures around spe-
cific identified risk area are maintained.
, CCEP Compliance and Ethics Professional Exam
Study online at https://quizlet.com/_cyj0fy
What else will a compliance
program document in regards
to risks?
13. What will a compliance pro- That the governance policies for the com-
gram document in regards to pliance and ethics program are main-
governance policies? tained.
14. Who does a Compliance Offi- A board of directors, or audit committee
cer report to?
15. What does a compliance offi- Reports compliance and ethics activity to
cer report and to whom? the internal governing body, like a board of
directors/audit committee
16. Who else does a compliance Gives reports of compliance and ethics ac-
officer report to? tivity to the senior business leader, like the
CEO or CFO
17. What does the CO coordinate Coordinates the operational aspects of the
inside the organization? compliance program with management,
like oversight committee and senior man-
agment.
18. Benchmarking Collaborate with others internally and ex-
ternally to institute best practices: what are
others doing in their program?
19. What is the CO responsible for To ensure the goals and objectives of the
in regards to goals of oversight oversight committee are achieved.
committee?
20. What knowledge is needed? Maintain knowledge of relevant laws and
regulations
21. How is knowledge of relevant Relevant laws and regulations are applied
laws used? to the needs of the organization.
22. CO assures what about the That it is credible and run with integrity.
compliance program?
, CCEP Compliance and Ethics Professional Exam
Study online at https://quizlet.com/_cyj0fy
23. What must a CO recognize? Recognize the need for outside expertise.
24. What does the governing Its responsibilities related to compliance
board need to understand? and ethics program and culture.
25. What does CO need to do in Make sure the role of counsel is defined.
regards to Legal Counsel?
26. What does the CO manage? Manages resources for the compliance
and ethics program, like finance and per-
sonnel resources.
27. What should the CO do in re- The CO integrates the compliance and
gards to the business? ethics program into the business.
28. Annually the CO needs to.... Develop an Annual compliance and ethics
work plan.
29. To manage risks, the CO.... ensures the organization has processes
inn place to manage identified risk areas,
like conflicts of interest, privacy, anti-cor-
ruption, and anti-bribery.
30. Compliance is responsible Background checks and screenings are
for... done: new hires, substantial authority per-
sonnel, third parties, government lists.
31. The organization needs to defined the authority of the compliance
have.... and ethics professional.
32. Compliance training includes disseminate relevant information on
emerging risk areas.
33. Compliance and Ethics Infor- communicated throughout the organiza-
mation should be... tion.
34. Should Compliance Training Targeted per needs; risk specific, orienta-
be general or targeted? tion, remedial.
35.
