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SCCE Compliance, Ethics, and Organizational Culture

Diagnosing Your Culture Through Behavioral Science: Why It Is the Best Way to Assess Cultural Risk

1:30 PM CDT – 2:30 PM CDT

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.

Learning Objectives:

  • Discuss how behavioral science teams proactively identify, assess, and mitigate cultural risk
  • Identify cultural norms, hot spots and root causes of employee behavior and decision-making
  • Use advanced techniques to measure compliance with cultural values and monitor for implementation


Tracy Saale
Managing Director, Conduct Risk Management and Corporate Responsibility Officer, Charles Schwab Corporation

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