Keys to Maintaining Objectivity and Independence

Duration: 90 Minutes
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.
Role of Compliance professionals
Instructor: Lynn Fountain
Product ID: 501968
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 with legal or audit experience. In today's world, professionals from a multitude of disciplines have found themselves in positions of compliance responsibilities.

Due to the wide variety of compliance laws and regulations, compliance professionals must have the skills and fortitude to be able to execute their responsibilities in a manner that is both independent and objective. Theoretically, this concept should be a known aspect by companies and they should embrace the concept of independence and objectivity. In reality, internal compliance professionals are still employed by the company and a perception of undue pressure can impact the ability to truly execute responsibilities in a completely objective and independent manner.

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
Why should you Attend
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.

Every compliance professional faces situations and scenarios where they feel their independence and objectivity related to an issue is 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.

Who will Benefit
  • Chief Compliance Officers
  • Chief Risk Officers
  • Chief Legal Officers
  • Chief Audit Executives
  • Internal Auditors
  • Risk Professionals
  • Compliance Professionals
  • Quality Assurance Professionals
$300
Recorded Session for one participant
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  • Upon purchase of the recorded session a link will be updated on your OCP Account within 24 hours
  • Please click on the link to access the Recorded Session
  • Presentation handouts in downloadable PDF format will be updated on your OCP Account within 24 hours of the purchase of the product
  • Download the Certificate of Attendance and Purchase Invoice from your OCP Account after 48 hours of the product Purchase
  • Please share your valuable Feedback at the end of the session
Instructor Profile:
Ms. Fountain has over 30 years of experience in business profession including, public and industry accounting, leadership, compliance, governance and internal/external audit. Her career has included serving in the capacity of Chief Audit Executive for two international companies. In addition, she has successfully executed her own consulting practice for over six years.

Her initiatives in Internal Audit and Enterprise Risk Management have been highlighted in various professional publications. Ms. Fountain is a subject matter expert in areas of internal audit, risk management, governance, fraud and compliance. Ms. Fountain is a highly recruited international trainer and speaker for multiple conference groups and the Institute of Internal Auditors. She currently hosts two e-workshop series for the IIA on fraud and ethics. In addition, she is currently contracted to complete a publication for the IIA Research foundation on Fraud.


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