Adhering to Professional Standards
All c-suite professionals and their immediate reports charged with day-to-day compliance leadership and oversight initiatives are subject to professional standards embodied in a code of ethics, code of conduct or other formal ethics tenets that govern their respective compliance roles.
Examples of Compliance Personnel Codes of Ethics and other Professional Standards
There are various professional organizations that have promulgated codes of conduct that compliance personnel follow. Some of these codes of conduct are displayed below:
- Society for Corporate Compliance and Ethics Code of Professional Ethics for Compliance and Ethics Professionals
- Health Care Compliance Association Code of Ethics for Health Care Compliance Professionals
- The Institute of Internal Auditors International Professional Practices Framework (IPPF)
- ISACA Code of Professional Ethics
- Association of Certified Anti-Money Laundering Specialists Standards of Conduct
- Association of Certified Fraud Examiners Code of Professional Ethics and Code of Professional Standards