client login    languages

ON-DEMAND WEBCAST | Conducting Compliance Risk Assessments

New Methods for Your Ethics and Compliance Program

More and more companies are realizing that applying compliance risk assessment approaches to their ethics and compliance program can substantially bolster the program’s effectiveness – and efficiency. By analyzing and prioritizing compliance risks up front, compliance professionals can deploy limited company resources to the highest risks, and do so in a way that is tailored to the specific nature of such risks.

Jeff Kaplan, a partner in the Princeton NJ office of Kaplan & Walker LLP who has been practicing compliance-and-ethics program law for more than twenty years, will explore key aspects of compliance-and-ethics risk assessment. He will also focus on concepts from his recently published e-book Compliance & Ethics Risk Assessment: Concepts, Methods and New Directions, including the necessary scope and goals of a risk assessment and how a risk assessment can help refresh “middle-aged” programs.


  • A framework for assessing third-party risks
  • The challenge and benefits of “nano compliance”
  • Deep dive into FCPA, competition law, insider trading & conflict of interest risks
  • “Behavioral ethics” “moral hazard” and compliance risk assessments
  • The relationship of risk assessment to program assessment


jeff kaplan compliance risk assessments





Jeff Kaplan, Partner  (Kaplan & Walker LLP)

Jeff Kaplan is a partner in Kaplan & Walker LLP, a law firm in Princeton, New Jersey and Santa Monica, California. He received his B.A. (magna cum laude, Phi Beta Kappa) from Carleton College in 1976 and his J.D. (cum laude) from Harvard University in 1980.

For more than 20 years he has specialized in all aspects of assisting companies in developing, implementing and reviewing corporate compliance/ethics programs, and has reviewed programs for several governmental agencies. He was Counsel to the Ethics Officer Association (now the ECOA), and now serves as the Program Director of the ECOA’s “U.S. law school” and “Global law school” for compliance/ethics officers. He is, together with Joe Murphy, co-editor of Compliance Programs and the Corporate Sentencing Guidelines: Preventing Criminal and Civil Liability (West 1993).

He co-chairs the annual PLI annual Advanced C&E Workshop and chairs the annual CLE program in corporate compliance sponsored by the NY City Bar. He is the Featured Risk Assessment Columnist for the Corporate Compliance Insights web site and editor of the Conflict of Interest Blog ( He is Adjunct Professor of Business Ethics at the Stern School of Business, New York University.

Jeff is a member of the New York and New Jersey bars. In 2009 he was a recipient of a Compliance and Ethics Award from the Society for Corporate Compliance and Ethics, which that organization bestows annually on “Compliance and Ethics Champions.”

compliance risk assessment


  1. March 14, 2014 at 7:32 pm

    […] last spring, and how we were talking about metrics and effectiveness. Proving effectiveness of the ethics and compliance program to the board of directors is a topic that’s important to our clients right now, but so is ROI. […]

    Reply »
  2. March 26, 2014 at 9:49 am

    […] here is information about a web cast on risk assessment that I’ll be presenting for The Network on […]

    Reply »
  3. April 2, 2014 at 6:54 pm


    Reply »
  4. Jindra Slaby
    April 4, 2014 at 7:19 am

    Hi I missed this due to travelling. is there a record? I'd really appreciate this. Find it very interesting. Thank you for your answer in advance. JS

    Reply »
  5. Olena Eaton
    April 7, 2014 at 4:41 pm

    Sure, we just added a form to view the recording - please see above. Thanks for your interest.

    Reply »
  6. April 7, 2014 at 6:47 pm

    […] going to say it was serendipitous that I sat in on Jeff Kaplan’s webinar today, “Compliance Risk Assessments – New Methods for a Defensible Ethics and Compliance Program” that touched on exactly what we are talking about, company risk. While Jeff wasn’t […]

    Reply »

Leave a Comment

We would be glad to get your feedback. Take a moment to comment and tell us what you think.

You may use these HTML tags and attributes: <a href="" title=""> <abbr title=""> <acronym title=""> <b> <blockquote cite=""> <cite> <code> <del datetime=""> <em> <i> <q cite=""> <s> <strike> <strong>

Awards & Certifications 2013 GRC 20/20 Technology Innovation Award 2013 TAG Top 40 Innovative Company 2012 IABC Gold Quill Award 2012 MarCom Award We self-certify compliance Safe Harbor Safe Harbor Certification SOC 2 Certification