Training Course Syllabus:

Keys to Maintaining Objectivity and Independence 

Open discussion of the need for compliance professionals approach and execution of independence and objectivity is often downplayed within the corporate environment. The issue is recognized among those who are in the compliance role, yet the topic borders on the political line within and organization's hierarchy. Professionals often must learn to "face the music" or "play the politics" even though their ethical and moral code tells them something should be changed.

Compliance professionals must bond together to share experiences and tactics to allow the profession to truly provide the value that shareholders, customers, creditors and regulators demand. Open discussion and sharing is the key to success. This session will provide transparent insight into real life scenario difficulties and alternatives for action by the compliance professional. 

The compliance profession has emerged as one of the critical job roles in corporate America. The ongoing onslaught of legislation and regulatory guidelines in every industry has heightened the need for professionals who can effectively and efficiently develop and manage strong compliance programs. In the past, these roles were often considered the responsibility of professionals whose vital included legal or audit experience. In today's world, professionals from a multitude of disciplines have found themselves in positions of compliance responsibilities.

Why Should you Attend:

Sooner or later, every compliance professional will face situations and scenarios where they feel their independence and objectivity related to an issue may be impaired. They may feel pressured by management to minimize their report finding or in some cases, look the other way. When this occurs they are faced with the dilemma of "what do I do" or "how do I handle this situation".

These are the types of situations that our University programs do not prepare us for. Experience can often be the best teacher. However, all individuals should be armed with some basic concepts that will prepare them to choose the right path when such difficult situations occur. 

Objectives of the Presentation:

             The requirements of professional skepticism

             Compliance rules defining independent roles

             Identifying the difference between legality and ethics

             The top five techniques to ensure the compliance roles independence

             The top five techniques to assist when employing objectivity

            What to do when management challenges you

Who can Benefit:

               Chief Compliance Officers

               Chief Risk Officers

               Chief Legal Officers

               Chief Audit Executives

               Internal Auditors

               Risk professionals

               Compliance professionals

               Quality assurance professionals

Seminar Summary:

This session is designed to share key concepts that all compliance professionals should employ to ensure their work can be represented as independent, objective and ultimately provide the greatest risk mitigation to their companies. (see full course description)

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