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Presentations and handouts

2016 Compliance & Ethics Institute

September 25 - 28, 2016 | Sheraton Grand Chicago | Chicago, IL

Sunday | Monday | Tuesday | Wednesday | CEU application | Conference Brochure

Wednesday (Post Conference)

SESSION

SPEAKER


Post-Conference Breakout Sessions

8:00 - 9:45 AM


Did you miss a session?

Was there a session you really wanted to attend? Purchase session recordings here.

 Risk back to top

W1: The Wolf in Sheep’s Clothing: Do You Know Where Your Next Risk Will Come From?

  • This unique workshop experience will examine and explore ethics and compliance risks across global organizations from various angles and perspectives to stay nimble in the ever changing world of risk management.
  • Attendees will engage in interactive, real-world exercises to collaborate, discuss strategy, and share experience across industries related to effective risk identification and management.
  • Session takeaways will include an overview of best practices for effective risk mitigation and how to stay proactive and vigilant to risk vulnerabilities.

Presentation (2 slides/page)
Presentation (3 slides/page)

Louis G. Perold, Global Compliance Manager, Jabil Circuit, Inc

Krista Muszak, Regional Compliance – Americas, Bristol-Myers Squibb Company

 Ethics back to top

W2: Challenges of Organizational Restructures: Keeping Ethics at the Forefront

  • What can ethics and compliance do? Identify warning signs, pulse the organization, coordinate to shore up consistency in the process, communicate key messages, educate leaders and employees.
  • What can leaders do? Solicit input, watch for attitude and morale shifts, remain transparent and build trust.
  • What can employees do? Ask questions, listen to messages being delivered, refrain from gossip.

Presentation (2 slides/page)
Presentation (3 slides/page)

Lisa Gross, Ethics Analysis Senior Manager, Lockheed Martin

Darren Hill, Ethics Senior Manager, Lockheed Martin

Denise G. Drennan, Ethics Officer, Lockheed Martin

 Case Studies back to top

W3: Ethics & Compliance Program Review - A Look at Four Corporate Compliance Programs

  • How each of the speaker companies have structured their ethics and compliance programs, including staffing and reporting structure.
  • What areas of responsibilities are handled by the ethics and compliance programs for each of the speaker companies, including primary and secondary responsibilities.
  • What data and metrics are used when reporting to executive management and/or at board meetings for each of the speaker companies.

Presentation (2 slides/page)
Presentation (3 slides/page)

Vanessa R. Wisnoski, Senior Integrity & Compliance Analyst, Marathon Oil Corporation

Yuhok S. Raymaker, Director, Ethics & EEO Compliance, Waste Management

Jacqueline L. Phillips, VP Ethics and Compliance, Spectra Energy Corporation

Amy T. Lilly, Director Ethics & Compliance, CenterPoint Energy, Inc.

 Multinational/ International back to top

W4: Foreign Agents, Partners & Intermediaries: You Can’t Live with Them, but You Can’t Live Without Them

  • Strategies for identifying and addressing corruption related risks posed by international third parties.
  • How to determine the appropriate level of due diligence for your agents and partners in a cost-effective manner.
  • Practical tips to relieve the tension between business managers and compliance officers arising from third party relationships while still managing risk.

Presentation (2 slides/page)
Presentation (3 slides/page)

Handout 1
Handout 2
Handout 3
Handout 4

James M. Lord, Shareholder, Inman Flynn Biesterfeld & Brentlinger, PC

Andy Hinton, Vice President and Chief Compliance Officer, Google Inc.

Harvey W. Woodford, Vice President, Chief Ethics & Compliance Officer, Avnet, Inc.

 Compliance Lawyer back to top

W5: Top Labor and Employment Risk Areas

  • From the impacts of the “shared” economy to pay practice compliance, learn the emerging risks in the labor and employment law field.
  • Learn how to identify and mitigate these key risk areas.
  • Learn how to handle a whistleblower complaining about high risk activities.

Presentation (2 slides/page)
Presentation (3 slides/page)

Earl M. (Chip) Jones, III, Shareholder, Littler Mendelson P.C.

Paul E. Bateman, Shareholder, Littler Mendelson P.C.

 IT Compliance back to top

W6: Detect Data Breaches by Insiders and Hackers Posing as Insiders, Even if Only Done Once

  • Hackers who steal credentials with phishing or other attacks would seem impossible to detect. Join this session and learn techniques to address these challenges.
  • A review of the current state of data theft by insiders and hackers posing as insiders.
  • Walk away with tools and techniques you and your organization can utilize with software you already have to address these data breach challenges.

Presentation (2 slides/page)
Presentation (3 slides/page)

Alan Norquist, CEO & Founder, Veriphyr, Inc.

John Vastano, CSO, Veriphyr, Inc.

 General Compliance and Hot Topics back to top

W7: Crisis Management for Ethics and Compliance Professionals

  • The key to managing any crisis is your ability to be situationally aware and the ability to detect those situations that have the potential to create collateral damage. This session will help you identify those situations requiring early crisis management.
  • Provide you with some tactics to help you manage the conversation in the face of a crisis, to quell internal chatter and dispel any external speculation and suspicion.
  • Interactive segment where real life circumstances and the situational paths that can ensue are examined providing a brainstorming opportunity to manage and prevent similar crisis’s, leveraging the expertise of participants.

Presentation (2 slides/page)
Presentation (3 slides/page)

Eunice Jordan, Legal & Compliance Consultant, DTCC

 General Compliance and Hot Topics back to top

W8: Are You Experienced? Applying Experiential Education to Ethics

  • Objectives, strategies and types of experiential education in principle and application.
  • How adults learn and why ethics lends itself to experiential education.
  • A participatory workshop for developing and delivering experiential education..

Presentation (2 slides/page)
Presentation (3 slides/page)

Michael R. Levin, Senior Director of Compliance: Ethics & Business Practices, Freddie Mac

Jason Lunday, Consultant, IntegrityFactor


Networking Break

9:45 - 10:00 AM


Post-Conference Breakout Sessions

10:00 - 11:45 AM


Did you miss a session?

Was there a session you really wanted to attend? Purchase session recordings here.

 Risk back to top

W9: How Boards Really Approach Risk Management

  • See how Fortune 1000 do (or do not) structure risk management duties in their charters.
  • Discuss how to develop a framework for risk management your boards can implement.
  • Exchange thoughts and best practices on how compliance executives can help their boards build ERM methodically.

Presentation (2 slides/page)
Presentation (3 slides/page)

Matt Kelly, Editor & CEO, Radical Compliance

 Ethics back to top

W10 Navigating the Rough Waters of Ethics and Compliance Risks

  • Chart the Course: Map your ethics and compliance risk coordinates jointly with your ERM team.
  • Stay the Course: Use your risk map as a lighthouse to actively manage your ethics and compliance risks.
  • Maintain the Course: Keep a scorecard to check the accuracy of your ethics and compliance risk findings and make mid-course corrections.

Presentation (2 slides/page)
Presentation (3 slides/page)

Helen Goodwin, Compliance & Ethics Professional

Jana Utter, Vice President Enterprise Risk Management, Centene Corporation

 Case Studies back to top

W11: iCare: Tyco’s Compliance Liaison Program - How a Pilot Program Became a Cornerstone of the Compliance Department

  • We will share the details of a cultural crisis that gave birth to the iCare program.
  • We will discuss the unanticipated positive results of implementation of the pilot that included an award.
  • We will talk about where we are taking the program now and share lessons learned.

Presentation (2 slides/page)
Presentation (3 slides/page)

Katherine Snell, Ombudsman/Senior Manager, Compliance & Ethics, Tyco

Valerie Raye, NPD Manager – LSP, Tyco Global Supply Chain

 Multinational/ International back to top

W12: If you think you are too far from money laundering and terrorism, this session is for you!

  • Money laundering and terrorism are growing faster and becoming more sophisticated. It is not a sole responsibility for the governments or financial sector; the causes that generated them are many and different. Therefore it is essential to know what they are.
  • There are key and essential factors to prevent and combat both. It is not necessary to implement more than many companies used as internal controls; it is only time needed in order to re align controls you already have by another scope. KYC is the basic.
  • “Willful blindness” is a term used in money laundering that many companies and persons do. Everybody has the exposure to those risks; but not accepting or denying makes it easier for the criminals.

Presentation (2 slides/page)
Presentation (3 slides/page)

Mónica Ramírez Chimal, Managing Director/Partner, Asserto RSC

 Compliance Lawyer back to top

W13: Around the World in 60 Minutes: Recent Developments in U.S. Trade Controls

  • Key sanctions developments – opportunities (and risks) created by the Iran nuclear agreement; does easing the Cuba embargo matter to business; and challenges from the Russia “smart sanctions”.
  • Export control reform at the end of the Obama administration – how should the exporting community assess the impact of reform; the cloud, cyber issues and other high tech challenges; and what lies ahead in the next Administration?
  • Compliance best practices based on recent enforcement cases; how to investigate trade control issues; how to disclose violations; and how to fix problems.

Presentation (2 slides/page)
Presentation (3 slides/page)

Peter Lichtenbaum, Partner, Covington & Burling LLP

John C. Pisa-Relli, Managing Director, Global Trade Compliance, Accenture

 IT Compliance back to top

W14: In Pursuit of Clean Earnings: Dodging an SEC Investigation or Litigation

  • What are clean earnings?
  • SEC Enforcement Landscape and Hot Topics.
  • The case for a strong corporate governance, compliance and controls system as a Cost Prevention Center able to deliver a positive ROI.

Presentation (2 slides/page)
Presentation (3 slides/page)

Susan Markel, Managing Director, AlixPartners; Former Chief Accountant – Division of Enforcement, US Securities and Exchange Commission

 General Compliance and Hot Topics back to top

W15: Gaming the Seven Elements

  • Network with compliance and ethics colleagues while reviewing the seven elements of an effective compliance program.
  • Explore subliminal messaging techniques to communicate compliance and ethics expectations.
  • Strengthen the effectiveness of your compliance and ethics communication and training program through the use of games that create opportunities for employees to interact and connect with each other.

Presentation (2 slides/page)
Presentation (3 slides/page)

Barbara L. Harmon, Compliance & Ethics Lead, Alyeska Pipeline Service Company

 General Compliance and Hot Topics back to top

W16: Using Employee Engagement Data to Spot and Address Risk Areas

  • Actively Disengaged employees consistently create risk within organizations. Learn to spot areas of active disengagement and how to address them before they become whistleblower issues.
  • Research data from within your organization can be used to address culture problems which lead to risk pockets. Learn how to look for stories in the data and address cultures that aren’t living up to your organization’s chosen ethics.
  • Great managers prevent problems. Learn to use data in your organization to spot great managers and support them and to find managers who need a hand in creating a workplace that fosters reduced risk.

Presentation (2 slides/page)
Presentation (3 slides/page)

Handout 1
Handout 2

William Kruse, Vice President Law & Counsel, Regulatory Compliance Officer, Gallup Inc.

Jim Harter, Chief Scientist of International Workplace Management and Well-Being, Gallup Inc.