Strategies for Building an Institution-Wide Compliance and Ethics Program

Strategies for Building an Institution-Wide Compliance and Ethics Program

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Learn to apply the seven elements of compliance and ethics to your current campus compliance program.

A thorough understanding of the Federal Sentencing Guidelines is essential for institutions looking to build comprehensive, accessible, and supported compliance and ethics programs. To improve compliance-related resources and significantly mitigate ethical, financial and legal risks, administrators must stay abreast of current practices and adopt innovative strategies to design and implement a sustainable compliance and ethics program.

Join us for this highly practical and interactive workshop, where you will learn and apply the seven elements of compliance to your own, unique institutional context. With the support of our expert speaker, you will outline a plan for building or refining a campus-wide compliance infrastructure.

This intimate program is designed to bring together compliance, ethics, and risk management leaders in a shared learning space and to provide them with tangible tools and strategies that they can implement on their campuses right away.

We will cover several components of an effective compliance program including:

  • Dissemination of comprehensive written policies and procedures
  • Guidelines for proper staffing, resources, and oversight
  • Effective and accessible training programs
  • Establishing and publicizing a system for reporting violations
  • Implementing an employee enforcement or discipline process
  • Developing a continuous risk assessment process and internal audit systems


Who Should Attend

This conference will benefit leaders or administrators who have direct oversight over a compliance and ethics program for their campuses, regardless of their assigned department or position or the level of structure in their current programs.

General counsels, internal audit committee members, as well as professionals in risk management, financial aid, compliance, athletics, Title IX, and ADA will find the content of this training valuable.


Bring your team and save!

Save over 15% when you register three or more colleagues.


Follow Through With Success Coaching

Have you ever gone to a training only to find that you came back with great ideas but don’t have the time, support, or skills needed to make the changes?

Academic Impressions has produced thousands of trainings and we have learned that utilizing a coach after attending a conference helps provide accountability and bridges the training with the on-the-ground work of getting the job done.

As a result, we are now offering success coaching on select conferences.

  • Purchase this training + 3 one hour follow up success coaching calls
  • Work with an assigned coach who has extensive experience in higher ed.
  • Get individualized support to help you follow through on what you’ve learned.
  • Workshop your plans, run your ideas by someone and get additional help/practice.

To learn more, contact Patricia Sandler at or purchase the Premium Pass with success coaching below.


Your registration fee includes full access to all conference sessions and materials, breakfast, lunch, and access to the networking reception on Thursday, breakfast on Friday, as well as refreshments and snacks throughout the conference.

Day 1

8:30 a.m. – 5:00 p.m.


Understanding the History and Landscape of Compliance in Higher Education

Our expert speaker will provide a brief historical overview of corporate compliance and ethics and how these practices translated to higher education. You will begin to understand and analyze the financial risk and liability factors by reviewing real examples of compliance and ethics scandals in higher education. After understanding the bigger picture of compliance in higher education, you will use the rest of the conference to focus on your campus’ most pressing compliance issue.



Introduction to the Federal Sentencing Guidelines: The Seven Elements of Compliance

You will be introduced to the framework for a campus-wide compliance program based on the federal sentencing guidelines. You will explore how to structure and staff a compliance office and build the appropriate campus-wide infrastructure to enhance the success of the program. Through a ranking exercise, you will distinguish your top compliance priorities using the seven elements of compliance.

Also, you will receive an additional resource in your conference binder: Implementation of Effective Compliance and Ethics Programs and the Federal Sentencing Guidelines by Steven D. Gordon.



Customizing Your Compliance Efforts

It is important to recognize that a “one-size-fits-all” compliance program will not work across all campuses. We will explore a variety of important considerations such as:

  • Identifying the necessary traits of a compliance officer
  • Setting and managing realistic expectations
  • Knowing how to define your institution’s culture
  • Navigating the political landscape
  • Setting proper boundaries
  • Identifying compliance partners
  • Understanding the institution’s positioning as it relates to compliance efforts  

You will find ways to create a compliance and ethics program that fits your unique campus culture and dynamics.



Prioritizing and Organizing Compliance Efforts in a Shifting Environment

Various challenges related to compliance (such as building a code of conduct / designing or refining a compliance program while also managing compliance emergencies) can become a real complication for many administrators. This session is designed to help administrators prioritize unexpected issues while building a risk-based approach. Our expert speaker will share tools and strategies to rank risks while conserving resources and time. You will have the opportunity to test out one of these tools and apply it to a recent campus emergency.



Networking Reception

This informal reception is your chance to decompress, have a drink on us, and expand your network of connections. Our programs are intentionally designed for smaller groups, which means you will have the opportunity to meet your peers and our speakers face-to-face.


Day 2

8:30 a.m. – 12:00 p.m.


Applying the Seven Elements to Individual Compliance Programs: A Case Study

The seven elements of compliance are not only useful when building a campus-wide compliance and ethics program. When applied at the subject matter level, the seven elements can serve as a regulation-specific guide to be dispersed amongst compliance partners across campus. You will have the opportunity to read and discuss a case study in small groups and explore how the seven elements of compliance may be utilized to create a best practice and an effective compliance program on campus.



Developing Your Compliance Roadmap

In this closing session, you will explore practical tips to build a compliance and ethics program from scratch with minimal resources. Through careful risk assessment and prioritization, you will be able to outline a plan to build or refine a campus-wide compliance infrastructure following the seven elements of compliance process. You will develop your compliance roadmap by identifying your next steps in 30, 60, and 90 days from this conference and have the opportunity to share your ideas in small groups while soliciting our expert’s feedback on your plan.



Lorna Fink, J.D.

University Compliance Officer/Title IX Coordinator, Lynn University

Lorna speaks at national and international conferences on issues related to higher education compliance, including the design and delivery of a full-day Title IX Investigator Training and later a Chief Compliance Officers Certification Course for the National Conference on Law and Higher Education.

Read Lorna's full bio here.

Questions About the Event?


Rabia Khan Harvey
Senior Program Manager, Academic Impressions

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