1. These Compliance and Ethics Policies and procedures must exist: Non-Re-
taliation, Record Management, Conflict of Interest, Privacy, Security, and Confiden-
tiality
2. What are Compliance Officers required to do?: Maintain Compliance and
Ethics polices and procedures
3. When making decisions, C.O. need to....: Consult with appropriate subject
matter resources, HR, legal, finance
4. A main goal of compliance program:: Assure Alignment between organiza-
tion's mission, vision, values, and the code of conduct
5. A main goal of compliance program is...: to assure alignment of the compliance
and ethics strategic plan is consistent with overall business objectives.
6. A requirement for compliance program is...: to maintain a code of conduct
7. C.O. needs to ensure what?: Ensure organizational value statements reflect a
committment to a culture of integrity
8. What else does a CO ensure?: The policies and procedures address regulatory
and legal requirements.
9. Policies need to address what?: Interactions/relationships with third-parties,
like vendors, business partners, and competitors
10. What else is required in relation to third-parties?: That contractual agree-
ments include compliance and ethic standards.
11. What documentation is required of a compliance plan?: That the program
is documented, like a compliance manual/outlined plan.
12. What else will a compliance program document in regards to risks?: That
policies and procedures around specific identified risk area are maintained.
13. What will a compliance program document in regards to governance poli-
cies?: That the governance policies for the compliance and ethics program are
maintained.
14. Who does a Compliance Officer report to?: A board of directors, or audit
committee
15. What does a compliance officer report and to whom?: Reports compliance
and ethics activity to the internal governing body, like a board of directors/audit
committee
16. Who else does a compliance officer report to?: Gives reports of compliance
and ethics activity to the senior business leader, like the CEO or CFO
17. What does the CO coordinate inside the organization?: Coordinates the
, operational aspects of the compliance program with management, like oversight
committee and senior managment.
18. Benchmarking: Collaborate with others internally and externally to institute best
practices: what are others doing in their program?
taliation, Record Management, Conflict of Interest, Privacy, Security, and Confiden-
tiality
2. What are Compliance Officers required to do?: Maintain Compliance and
Ethics polices and procedures
3. When making decisions, C.O. need to....: Consult with appropriate subject
matter resources, HR, legal, finance
4. A main goal of compliance program:: Assure Alignment between organiza-
tion's mission, vision, values, and the code of conduct
5. A main goal of compliance program is...: to assure alignment of the compliance
and ethics strategic plan is consistent with overall business objectives.
6. A requirement for compliance program is...: to maintain a code of conduct
7. C.O. needs to ensure what?: Ensure organizational value statements reflect a
committment to a culture of integrity
8. What else does a CO ensure?: The policies and procedures address regulatory
and legal requirements.
9. Policies need to address what?: Interactions/relationships with third-parties,
like vendors, business partners, and competitors
10. What else is required in relation to third-parties?: That contractual agree-
ments include compliance and ethic standards.
11. What documentation is required of a compliance plan?: That the program
is documented, like a compliance manual/outlined plan.
12. What else will a compliance program document in regards to risks?: That
policies and procedures around specific identified risk area are maintained.
13. What will a compliance program document in regards to governance poli-
cies?: That the governance policies for the compliance and ethics program are
maintained.
14. Who does a Compliance Officer report to?: A board of directors, or audit
committee
15. What does a compliance officer report and to whom?: Reports compliance
and ethics activity to the internal governing body, like a board of directors/audit
committee
16. Who else does a compliance officer report to?: Gives reports of compliance
and ethics activity to the senior business leader, like the CEO or CFO
17. What does the CO coordinate inside the organization?: Coordinates the
, operational aspects of the compliance program with management, like oversight
committee and senior managment.
18. Benchmarking: Collaborate with others internally and externally to institute best
practices: what are others doing in their program?
