Industry Essential Conference
10:00-10:15 AM CST Welcome — Review the Agenda — What to Expect from the Day's Training
10:15-11:30 AM CST Why Compliance in the Dealership — Federal Regulations that Influence the Dealership — Built-in Risk Within the Dealership — The Culture of Compliance
11:45-12:30 PM CST Introduction of the Federal Sentencing Guidelines — Compliance Management Program
The Components of a Compliance Management Program
Board of Directors Oversight — Oversight - A Legal Responsibility — Delegating Authority & Resources — Compliance Officer Scope of Responsibilities — Scalable Infrastructures for the Dealership
Standards of Conduct, Policies, and Procedures — Value-Based or Rule-Based Environment — Code of Business Conduct & Ethics — Compliance Policies — The Verbiage of an Effective Policy & Procedure
Compliance Awareness & Education — The Life Cycle of Employee Training — What Constitutes Effective and Positive Training — Compliance Awareness Communication Plan — Benefits of Effective Training
Monitoring & Auditing / Identification of Compliance Risks — Monitoring vs Auditing — Risk Assessment and Prioritization — Mitigation or Restitution Plan — Auditing Sources in the Dealership
Reporting & Investigating (Video) — Compliance Reporting Venues — How to Prepare and Conduct a Compliance Investigation — Policies to Support Reporting and Compliance Investigation
Enforcement & Discipline — Consistent Enforcement and Discipline for Compliance Violations — Who is Responsible for Employee Discipline — Required Human Resource Policies
Restitution & Prevention — Evaluation of Resolution of Event — Root Cause Analysis
Federal Regulations That Impact the Dealership (Video) — Part 1
Federal Regulations That Impact the Dealership (Video) — Part 2
OSHA for the Compliance Officer — OSHA Basic Critical Markers — Creating a Dealership Disaster Plan
A Dealership Compliance Effectiveness Audit — Case Study: Complete A Compliance Effectiveness Audit
A Dealership Compliance Risk Assessment — Case Study: Create A Basic Risk Assessment
Complete & Risk Mitigation Plan — Case Study: Prioritize Risks and Develop A Risk Mitigation Plan
Leadership
Preparing for the Dealership Compliance Officer Professional Certification Exam — Discussion — Q&A — Closing Comments
*Exam to be taken online at your convenience.
Registration Fee: ADCO Members $650.00 Non-Members $950.00
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