Leadership Professional in Ethics & Compliance (LPEC)

ECI’s Certification of Leadership Professionals in Ethics & Compliance (LPEC)

The Ethics and Compliance Initiative (ECI) comprises America’s oldest ethics research organization and the country’s oldest ethics and compliance membership association. More than 1,500 compliance professionals turn to ECI to engage, learn and improve their individual and organizational effectiveness.

Throughout the year ECI conducts leadership training for ethics and compliance professionals. Our Elevating Ethics and Compliance or “E2C” programs provide in-depth, online and classroom-style training focused on developing leaders in our industry. This is not a program on fundamentals, it is a deep-dive into how to lead, evaluate and sustain high quality ethics and compliance programs. We would like you to think of it as the “next level” of your ethics and compliance education. You will complete the course with a better understanding of your role, or the role you aspire to, but you will also gain a distinguished list of colleagues equally committed to our industry.

Our class size is limited to facilitate interaction and allow for case studies and situational learning. The topics and curriculum are based on ECI’s research, surveys, benchmarking and best-practice working groups. This isn’t “book learning” this is exposure to real world ethics and compliance issues based on current risk predictions and the situations our members, faculty and experts have experienced.

Following the course work, you will be well prepared to becoming LPEC certified. By taking and passing the certification exam, you will exemplify the professionalism and dedication of our industry.

The LPEC program is governed by the Board of the Ethics & Compliance Certification Institute (ECCI), the certification arm of ECI.

Email us today to find the path that’s right for you, or call 703-647-2185.

Session 1 – Introduction (90 minutes)

  • Logistics
  • Organization of the content
    • Course overview
  • Introduction to ECI’s five principles of High Quality E&C Programs (HQP)
    • Understanding HQP’s link to the FSG and OCED and ISO standards
    • Applying the five HQP Principles

      1. E&C is central to business strategy – ability to make a business case utilizing the supporting objectives.

      2. E&C risks are identified, owned, managed and mitigated – understanding the tools and activities necessary to compete for executive and board attention

      3. Leaders at all levels across the organization build and sustain a culture of integrity – understanding, engaging and presenting the power of culture utilizing the C-suite, executives and managers.

      4. The organization encourages, protects and values the reporting of concerns and suspected wrongdoing – alignment of tone and policy; training and leveraging middle managers, developing consideration for all stakeholders (including third-parties) of the organization.

      5. The organization takes action and holds itself accountable when wrongdoing occurs – how to report, define, investigate, resolve and contain misconduct.

  • Discuss the Fundamental elements of an ethics and compliance program
    • How do I lead and interact and with these elements?
    • How do I evaluate the efficacy of my elements?
      • Benchmarking
      • KPI
      • Analysis
  • Communicating E&C’s value and promoting operational performance

HR, Legal, Privacy, Audit, Sales & Marketing, Procurement, Corporate Responsibility, Government Affairs, Finance & Accounting, Information Security / IT, Investor Relations, Line Management, Senior Management, Board of Directors

  • Impact of Effective E&C Programs (ECI Research)
  • Value of Effective CECO to Business
  • Scope of an effective CECO’s role & areas outside of E&C that are important to know about
  • Challenge of Building & Sustaining an HQP
  • Effective Leadership
    • Qualities of good leaders
    • Defining the role of the CECO (ECI Research findings)

Session 2 – Strategic E&C (60 minutes)

  • Overview of HQP Principle 1:E&C as central to business strategy

The Role of the Chief Ethics & Compliance Officer

  • Defining the organization’s compliance vision and strategy
  • Assessing a Code of Conduct
    • Developing consistency with the letter and spirit of law, organization’s core values, and universal ethical principles
    • Relevance to employees’ jobs
    • Clarity about what employees should do in specific situations
    • Readability and cultural-appropriateness

  • Relationship between Ethics & Compliance and function that manages policies
    • Which policies are “owned” by E&C?
    • Which policies apply only to employees and which apply to everyone (e.g., contractors, agents)?
    • Readability and cultural-appropriateness
  • Assisting senior management in its oversight of the organization’s compliance program
  • Monitoring and evaluating the proper functioning and effectiveness of the compliance program
  • Understanding business strategy
    • Positioning E&C inside the mind of the C-Suite
    • Connecting E&C to the business
    • Strategic Planning
    • Key business documents & C-suite activities every CECO should pay attention to
  • Establishing and Maintaining Critical CECO Internal Relationships
    • The CECO’s relationships to peer functions within the organization
    • The CECO’s relationships with the business units & divisions
    • The CECO’s relationship with business staff: sales, development, R&D, etc.
    • The CECO’s relationship with the governing bodies (C-Suite, board)

Session 3 – Identifying & Mitigating Risk

  • Overview of HQP Principle 2: E&C risks are identified, owned, managed and mitigated
  • Components and tactical understanding of the ERM process
    • Understanding the basic elements of ERM programs
    • Assessing risk and developing a repeatable process to establish risk levels
    • Identifying, analyzing and prioritizing risks
    • Defining the necessary countermeasures to mitigate risk
    • Understanding the cost/benefit analysis of countermeasures
    • Devising a governance structure for oversight – with responsibility for escalation
    • Review of information systems to support decisions, monitoring and communication
    • Understanding how an organization’s culture affects its risk profile
  • Understanding the factors that affect risk
    • Industry dynamics
    • Business structure
    • Size of the business in $$
    • Size of the business in EE
    • Products and services
    • Geographies served/Location of the operations
    • Size of the third-party or external stakeholder network
    • Controls already in place and mitigation history
    • Mission, vision, and values (espoused and lived)
  • Risk taxonomy of Key Indicators
    • KRIs (Key Risk Indicators)
    • KPIs (Key Performance Indicators)
    • KCI (Key Control Indicators)
    • BEICFs (Business Environment (BE) and Internal Control Factors (ICF))
  • Aligning to business activities and conditions, how to:
    • Determining whether any additional E&C communications (training or other) should be targeted systemically or by operating group on any given topic
    • Developing/enhancing E&C audit protocols, monitoring tools and other approaches to “checking” on both an enterprise-wide, local “level” and with “third-parties”
    • Identifying E&C risks and if additional controls are warranted
    • Establishing additional E&C oversight/reporting responsibilities for high-risk areas
    • Assessing whether incentives in any part of the Company pose an undue risk from a E&C perspective
    • Importance of metrics for measuring the effectiveness of E&C efforts
    • Identifying cultural or geographic E&C risks
    • Reporting program review and oversight to the Board
  • Understanding and utilization of the tools and methodologies for understanding ERM results
    • Radar Map
    • Heat Map
    • Risk Ranking
    • Venn Diagram

Session 4 – Leadership & Culture 

  • Overview of HQP Principle 3:Leaders at all levels across the organization build and sustain a culture of integrity
  • Understanding Culture
    • Impact on employee behavior
    • Why the view is rosier at the top (ECI research)
    • Drivers of culture (ECI research)
    • Enforcement attitudes about the role of culture
  • Getting buy-in on the importance of culture
    • Ethical leadership in setting tone (ECI’s research)
    • Connecting and evangelizing E&C to business leaders
    • Performance metrics for leaders (ECI ERAs)
  • Strong cultures have two primary drivers:how do you develop them
  • Exploring what and how organizations find themselves in serious ethics and compliance trouble
  • Creating and Measuring Culture:
    • Communications
    • Tone at the Top
    • “Mood in the Middle”
    • Recruiting
    • Socialization and Training
    • Global Considerations
    • Third Parties (Vendor, Supplier, Agent)
    • Maintaining an Evolving Culture
    • Appraisal, Discipline and Reward Systems
  • Utilizing measurement tools and math

Session 5 – Encouraging Reporting

  • Overview of HQP Principle 4:The organization encourages, protects and values the reporting of concerns and suspected wrongdoing
  • Understanding Retaliation
    • Top 10 Forms of Retaliation (Perceived by Reporters of Misconduct)
    • NBES Research on Retaliation
  • 7 Keys to Open and Non-Retaliatory Environments
    • Developing clear and effective code standards
    • Fostering a culture that values communication and admitting mistakes
    • Creating and advertising multiple communication channel
  • Understanding how and where incidents are reported
    EE Reporting, Direct manager or another member of management, Ethics and Compliance Office (or Ombudsman), Local/Regional designates, Functional department (e.g., Finance, HR, Legal), Audit, Helpline/Hotline, Board Audit or Compliance Committee, Real time/near time Observation, Technology
  • Developing a consistent, repeatable review, triage and follow-up process for all reports and inquiries
  • Despite the SOX emphasis, most reports or allegations of misconduct go to managers
    • Training managers to understand the how and why of report intake
    • Best Practice Incident Helpline Reporting Flow Chart
    • Training managers to understand reporting triage steps 
    • Training employees and other stakeholders how, what and where to communicate their feedback and concerns
  • Reasons for considering an outsourced helpline/hotline
    • Tracking Internal Reporting and Helpline/Hotline Metrics 
    • Using internal reporting data to evaluate many areas of E&C programs and culture
    • Defining Reporting KPI and Metrics
  • Implementing a problem focused investigation process

Session 6 – Accountability & Continuous Improvement

  • Overview of Principle 5: The organization takes action and holds itself accountable when wrongdoing occurs
  • Interpreting the importance of accountability
    • Views about accountability by level (ECI research)
    • Procedural justice
    • Communicating disciplinary actions
  • Internal Investigations -- How E&C Leaders control, execute and manage investigations of misconduct
    • How/when to bring in 3rd parties
  • Applying root cause analysis to understand what led to misconduct and prevent recurrence
  • Protecting whistleblowers and others participating in the investigation of misconduct from retaliation
  • Developing continuous program improvement
    • Reasons to evaluate program elements
    • Measuring the effectiveness of program activities
    • Providing evidence that the program is working and improving
      • Benchmarking – internal, nationwide surveys, industry data
      • Using Employee Surveys
      • Assessing compliance with policies and the law
      • Adjusting to changing economic and regulatory environment
      • Identifying training needs
    • E&C Standards used to Evaluate Programs
      • Steps for Effective Measurement (ECI Research)
      • Growing recognition of culture as a measure of program effectiveness
      • Using ROI as a measure for E&C function

Content provided by the Ethics & Compliance Certification Institute (ECCI), the certification component of ECI.


Pursue Excellence with LPEC Certification

Qualified candidates can take the certification exam online from the convenience of their own desk or workstation.

To register for the LPEC online exam or learn how to qualify for it, email certification@ethics.org.