CCEP Compliance and Ethics Professional Exam
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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?
, CCEP Compliance and Ethics Professional Exam
Study online at https://quizlet.com/_cyj0fy
19. What is the CO responsible for in regards to goals of oversight commit-
tee?: To ensure the goals and objectives of the oversight committee are achieved.
20. What knowledge is needed?: Maintain knowledge of relevant laws and regu-
lations
21. How is knowledge of relevant laws used?: Relevant laws and regulations are
applied to the needs of the organization.
22. CO assures what about the compliance program?: That it is credible and run
with integrity.
23. What must a CO recognize?: Recognize the need for outside expertise.
24. What does the governing board need to understand?: Its responsibilities
related to compliance and ethics program and culture.
25. What does CO need to do in regards to Legal Counsel?: Make sure the role
of counsel is defined.
26. What does the CO manage?: Manages resources for the compliance and
ethics program, like finance and personnel resources.
27. What should the CO do in regards to the business?: The CO integrates the
compliance and 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-corruption, and
anti-bribery.
30. Compliance is responsible for...: Background checks and screenings are
done: new hires, substantial authority personnel, third parties, government lists.
31. The organization needs to have....: defined the authority of the compliance
and ethics professional.
32. Compliance training includes: disseminate relevant information on emerging
risk areas.
33. Compliance and Ethics Information should be...: communicated throughout
the organization.
34. Should Compliance Training be general or targeted?: Targeted per needs;
risk specific, orientation, remedial.
35. The CO needs to _______________ C&E Training: Evaluate the effectiveness
of the compliance and ethics training
36. Compliance training requires that employees are aware of?: Their obligation
to report misconduct.
37. Each employee needs to know....: the compliance and ethics aspects of their
specific job responsibilities.
Study online at https://quizlet.com/_cyj0fy
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?
, CCEP Compliance and Ethics Professional Exam
Study online at https://quizlet.com/_cyj0fy
19. What is the CO responsible for in regards to goals of oversight commit-
tee?: To ensure the goals and objectives of the oversight committee are achieved.
20. What knowledge is needed?: Maintain knowledge of relevant laws and regu-
lations
21. How is knowledge of relevant laws used?: Relevant laws and regulations are
applied to the needs of the organization.
22. CO assures what about the compliance program?: That it is credible and run
with integrity.
23. What must a CO recognize?: Recognize the need for outside expertise.
24. What does the governing board need to understand?: Its responsibilities
related to compliance and ethics program and culture.
25. What does CO need to do in regards to Legal Counsel?: Make sure the role
of counsel is defined.
26. What does the CO manage?: Manages resources for the compliance and
ethics program, like finance and personnel resources.
27. What should the CO do in regards to the business?: The CO integrates the
compliance and 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-corruption, and
anti-bribery.
30. Compliance is responsible for...: Background checks and screenings are
done: new hires, substantial authority personnel, third parties, government lists.
31. The organization needs to have....: defined the authority of the compliance
and ethics professional.
32. Compliance training includes: disseminate relevant information on emerging
risk areas.
33. Compliance and Ethics Information should be...: communicated throughout
the organization.
34. Should Compliance Training be general or targeted?: Targeted per needs;
risk specific, orientation, remedial.
35. The CO needs to _______________ C&E Training: Evaluate the effectiveness
of the compliance and ethics training
36. Compliance training requires that employees are aware of?: Their obligation
to report misconduct.
37. Each employee needs to know....: the compliance and ethics aspects of their
specific job responsibilities.
