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SCCE Compliance Risk Assessment and Management

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.

09:00 Session

10:45 Session

13:00 Session

14:15 Session


Caroline McMichen
Strategic Advisor, SAI360

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Gwendolyn Hassan
Compliance Officer/Counsel, In Transition

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Greg Triguba
Principal, Compliance Integrity Solutions, LLC

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Thursday February 23, 2023

09:00 – 10:30 (CET)Assessing Internal Controls over ComplianceCaroline McMichen
Strategic Advisor, SAI360
Differentiate between the different types of internal controls
• Differentiate between design and operating effectiveness of internal controls
• Design and develop tests to measure the design and effectiveness of internal controls over compliance
• Differentiate between monitoring and auditing of internal controls
10:30 – 10:45 (CET)Break
10:45 – 12:00 (CET)Risk Response and MitigationGwendolyn Hassan
Compliance Officer/Counsel, In Transition
• Assess whether a response is necessary based on target and actual risk
• Differentiate between preventive and detective controls over compliance
• Design an appropriate response based on the results of a compliance risk assessment
• Implement and follow up on a risk response plan
12:00 – 13:00 (CET)Mid-Conference Break
13:00 – 14:00 (CET)Completing the CRM CycleCaroline McMichen
Strategic Advisor, SAI360
• Identify the principles of ERM as defined by COSO and their role in the compliance and ethics risk management cycle
• Identify and implement compliance and ethics program elements and actions that help an organization meet those objectives
14:00 – 14:15 (CET)Break
14:15 – 15:15 (CET)Final ConsiderationsGwendolyn Hassan
Compliance Officer/Counsel, In Transition
• Identify drivers of compliance risk in your organization
• Identify and apply techniques for creating a risk-aware culture
• Apply the concepts covered in this workshop to improve the compliance risk assessment and management processes in your organization