Making SCCE’s code part of your compliance program

Making SCCE’s code part of your compliance program

Joe Murphy – Compliance & Ethics Professional – June 2015

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code_ethics2We compliance and ethics professionals can be proud of our strong code of conduct for our profession, the SCCE Code of Professional Ethics for Compliance and Ethics Professionals. This code requires us to act in ways that serve and protect the public, our clients, and our profession. Through strengthening us as professionals, the code can, in turn, enormously strengthen company compliance and ethics programs.

How does the code do this? As one example, in the corporate world the usual rule is that one’s boss makes the final call on things. If a compliance person says a certain course violates the company’s code of conduct, but the boss wants to do it (and the lawyers advise it is not illegal), what does the compliance person do? Under SCCE’s code of ethics, the compliance person must take whatever steps are necessary to prevent the violation. This is not merely a requirement to give competent advice; it is a call for action. When the boss says, “Enough, I have decided,” the compliance person must escalate the matter, all the way to the board of directors
if necessary.

. . .

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