Keys to Maintaining Objectivity and Independence

Keys to Maintaining Objectivity and Independence

www.onlinecompliancepanel.com | 510-857-5896 | [email protected]

http://www.onlinecompliancepanel.com/

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.



Description: 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.

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 assit 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



Live Session - How it works

• Username and Password will be sent to you 24 hours prior to the webinar• Presentation handouts in pdf formate will be mailed to you• Login to the session using the username and password provided to you• Get answer to your queries through interactive Q&A sessions via chat• Please let us know your thoughts and views at the end of webinar, your valuable feedback

will help us improve• Get certification of attendance.

Recorded Session - How it works

• A link will be provided to you upon purchase of the recorded session• Please click on the link to access the session• Presentation handouts in pdf formate will be mailed to you• Get certification of attendance.



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Documents

Keys to Maintaining Objectivity and Independence