Certified Compliance and Ethics
Professional (CCEP) Certification Study
Resources Exam Questions and Answers
(Latest Update 2025)
Which of the following BEST describes the purpose of training
based upon risk assessment findings?
A.) Reducing the organization's legal exposure
B.) Educating employees on laws and regulations
C.) Educating the board on the compliance program
D.) Reducing the organization's insurance premiums -
Correct Answer ✅ A. Reducing the organization's legal
exposure
A compliance and ethics professional investigates a report of
sexual harassment. The incident does not constitute sexual
harassment, but reveals the employee's misunderstandings
of the harassment policy. Which of the following should be
the FIRST step in a corrective action plan?
A.) Consult outside counsel
B.) Disclose the incident to the EEOC
C.) Provide education and training on the policy
,Certified Compliance and Ethics
Professional (CCEP) Certification Study
Resources Exam Questions and Answers
(Latest Update 2025)
D.) Survey employees' understanding of the policy - Correct
Answer ✅ C.) Provide education and training on the policy
Which of the following provides guidance for the
development of a compliance program?
A.) Sarbanes-Oxley Act
B.) Federal Sentencing Guidelines
C.) Security and Exchange Commission
D.) Office for Civil Rights - Correct Answer ✅ B.) Federal
Sentencing Guidelines
Which of the following is the BEST outcome of a compliance
and ethics program?
A.) Mitigating risk
B.) Identifying risk
C.) Prioritizing risk
,Certified Compliance and Ethics
Professional (CCEP) Certification Study
Resources Exam Questions and Answers
(Latest Update 2025)
D.) Documenting risk - Correct Answer ✅ A.) Mitigating risk
Training on price-fixing is MOST important for which of the
following staff?
A.) Management
B.) Sales
C.) Marketing
D.) Accounting - Correct Answer ✅ B.) Sales
A compliance and ethics program should include:
1. An employee benefits handbook
2. Document retention guidelines
3. Policies regarding confidentiality
4. A statement about the organization's culture
A.) 1,2, and 3 only
, Certified Compliance and Ethics
Professional (CCEP) Certification Study
Resources Exam Questions and Answers
(Latest Update 2025)
B.) 1, 2, and 4 only
C.) 1, 3, and 4 only
D.) 2, 3, and 4 only - Correct Answer ✅ D.) 2, 3, and 4 only
A US-based retail company has 250 stores in 30 states. Past
compliance efforts have included a silo-based approach with
minimal oversight and the CEO acting as the Compliance and
Ethics Officer. One person in each state posted compliance-
related information sent from corporate, but there were no
actual educational sessions. Policies and procedures were
developed by corporate and reviewed 5 years ago. The
organization has decided that a more dedicated approach is
needed and hires a Compliance and Ethics Officer. Which of
the following actions should the new Compliance and Ethics
Officer take FIRST?
A.) Conduct a compliance and ethics risk assessment
B.) Review organization-wide compliance policies
C.) Perform a statistically valid compliance audit
Professional (CCEP) Certification Study
Resources Exam Questions and Answers
(Latest Update 2025)
Which of the following BEST describes the purpose of training
based upon risk assessment findings?
A.) Reducing the organization's legal exposure
B.) Educating employees on laws and regulations
C.) Educating the board on the compliance program
D.) Reducing the organization's insurance premiums -
Correct Answer ✅ A. Reducing the organization's legal
exposure
A compliance and ethics professional investigates a report of
sexual harassment. The incident does not constitute sexual
harassment, but reveals the employee's misunderstandings
of the harassment policy. Which of the following should be
the FIRST step in a corrective action plan?
A.) Consult outside counsel
B.) Disclose the incident to the EEOC
C.) Provide education and training on the policy
,Certified Compliance and Ethics
Professional (CCEP) Certification Study
Resources Exam Questions and Answers
(Latest Update 2025)
D.) Survey employees' understanding of the policy - Correct
Answer ✅ C.) Provide education and training on the policy
Which of the following provides guidance for the
development of a compliance program?
A.) Sarbanes-Oxley Act
B.) Federal Sentencing Guidelines
C.) Security and Exchange Commission
D.) Office for Civil Rights - Correct Answer ✅ B.) Federal
Sentencing Guidelines
Which of the following is the BEST outcome of a compliance
and ethics program?
A.) Mitigating risk
B.) Identifying risk
C.) Prioritizing risk
,Certified Compliance and Ethics
Professional (CCEP) Certification Study
Resources Exam Questions and Answers
(Latest Update 2025)
D.) Documenting risk - Correct Answer ✅ A.) Mitigating risk
Training on price-fixing is MOST important for which of the
following staff?
A.) Management
B.) Sales
C.) Marketing
D.) Accounting - Correct Answer ✅ B.) Sales
A compliance and ethics program should include:
1. An employee benefits handbook
2. Document retention guidelines
3. Policies regarding confidentiality
4. A statement about the organization's culture
A.) 1,2, and 3 only
, Certified Compliance and Ethics
Professional (CCEP) Certification Study
Resources Exam Questions and Answers
(Latest Update 2025)
B.) 1, 2, and 4 only
C.) 1, 3, and 4 only
D.) 2, 3, and 4 only - Correct Answer ✅ D.) 2, 3, and 4 only
A US-based retail company has 250 stores in 30 states. Past
compliance efforts have included a silo-based approach with
minimal oversight and the CEO acting as the Compliance and
Ethics Officer. One person in each state posted compliance-
related information sent from corporate, but there were no
actual educational sessions. Policies and procedures were
developed by corporate and reviewed 5 years ago. The
organization has decided that a more dedicated approach is
needed and hires a Compliance and Ethics Officer. Which of
the following actions should the new Compliance and Ethics
Officer take FIRST?
A.) Conduct a compliance and ethics risk assessment
B.) Review organization-wide compliance policies
C.) Perform a statistically valid compliance audit
