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SCCE Creating Effective Compliance Training

10:35 AM:

2:45 PM:


Kirsten Liston
Founder & CEO, Rethink Compliance LLC

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CJ Wolf
Faculty, BYUI

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Wednesday, November 1, 2023

8:55 AM – 9:00 AMOpening Remarks
9:00 AM – 10:20 AMThe Need for and Value of Training and EducationDOJ and regulator expectations 
• Where it fits within a compliance and ethics program 
• Selling training and education to management (and your workforce
10:20 AM – 10:35 AMBreak
10:35 AM – 11:35 AMAudiences and Topics for Training• New employee orientation (code of conduct, etc.)
• Recurring training for all on broad issues (code of conduct, culture of compliance, etc.)
• Recurring training for specific audiences on specialized compliance risk issues (FCPA, HIPAA, etc.)
• Non-recurring/responsive, based on specific event, emerging issue, etc.
• Onboarding training for certain vendors/suppliers, third parties, and more
• Recurring training for certain vendors/suppliers, third parties, etc.
11:35 AM – 12:20 PMMid-Conference Break
12:20 PM – 1:15 PMPicking a Path, Setting Up a Team and Process• Planning a multi-year program
• Buy vs build considerations
• Who should be involved, roles, etc.
• Process for development
• Process for QC, testing before rollout, etc
1:15 PM – 2:20 PMPrinciples of Adult Learning• Malcolm Knowles’ four principles
• Reaching different audiences (millennials, etc.)
2:20 PM – 2:35 PMBreak
2:35 PM – 2:55 PMTailoring Your Course to Your Audience• The DOJ calls for tailored, relevant training
• Considering need for customization/variation for different geographic regions, roles, and learner prof
• What technologies are available that allow you to do this
• Making training relevant in different cultures, languages/translations, etc.
2:55 PM – 3:55 PMDeveloping Your Training Content • Focusing on what the law means, not what it says
• Writing plain language compliance messages that connect
• Getting beyond information to persuasion

Thursday, Thursday 2, 2023

9:00 AM – 10:40 AMChoosing a Format and Learning Approach• Overview of pros and cons of different methods of delivery
• Live, in-person
• Web-based
• Gamification
10:40 AM – 11:00 AMBreak
11:00 AM – 12:10 PMBuilding Compliance Awareness: Managers and On-the-Job Communications• Manager role in compliance communications
• Other on-the-job compliance communications (posters, etc.)
12:10 PM – 1:00 PMMid-Conference Break
1:00 PM – 2:10 PM(Re)Identification of Training Needs• Risk assessments
• Remediation efforts, root cause analysis following investigations, etc.
• Input from employees, managers, etc.
• Results of auditing and monitoring (including A&M of third parties)
• Other techniques
2:10 PM – 2:25 PMBreak
2:25 PM – 3:25 PMMeasurement, Evaluation, and Ongoing Improvement Evaluating effectiveness of training
• Testing, different methods, etc.
• Measuring impact
• Four levels of training evaluation
• Modifications to future training based on evaluations
3:25 PM – 3:45 PMConference Wrap-up – Open Discussion

We are actively monitoring attendance. At random times throughout this session, you will be prompted with a pop-up to confirm that you are still actively participating in the virtual session. You will not see the pop ups if you are in full screen mode or your pop-up blocker is on. In addition, make sure you are disconnected from any VPN as they can also cause interference and that you have a stable internet connection (hard line is always best).Active attendance monitoring is only required if you will be requesting external CEUs for NASBA or CLE credits. If you only need Compliance Certification Board (CCB)® CEUs, it is not required to participate in active monitoring.