18th Annual Compliance & Ethics Institute 2019

#109

109: Best Friends Forever: Nurturing the Compliance-Board Relationship Ellen Hunt, Principal Consultant & Advisor, Spark Compliance Consulting Joan Ruff, Chair of AARP Board of Directors, AARP Ben DiPietro, E&C Content Stretegist View Description

-The ways board members can more effectively engage with ethics and compliance teams; -How compliance can better communicate and make the most effective use of its time before the board; -How boards and compliance can make better use of data to work together to grow strong ethical culture and bring greater awareness and engagement with the organization; and -The benefits organizations can gain from having compliance officers serve as board members.

Advanced Compliance 309

#209

209: Taking a Dynamic Approach to Compliance Risk Assessments for U.S. Government Contractors Nicholas Sanders, Principal Consultant, Apogee Consulting, Inc. View Description

-Learn how to manage a changing risk profile as your business evolves in size and transitions from sub to prime contractor and contracts change from fixed-price to cost-reimbursable -Increase your organization’s ability to identify and assess risks associated with organizational and contractor evolution using revenue, contract-type and acquiring agency as key differentiators -Better understand Federal Acquisition Regulation contract clauses and changing non-compliance risk

Advanced Compliance 359

#309

309: Advanced Investigations in Multinational Companies Jannica Houben, Vice President, Global Legal Transformation, TD SYNNEX Katarzyna Golonka, Vice President, Global Compliance, TD Synnex View Description

-Discuss various aspects of internal investigations from planning, through assembling the investigation team, designing investigative steps, interviews to internal communication and reporting. -Comprehensive analysis of investigation process combining perspectives of legal counsel and compliance officer with that of an external forensic expert and fraud investigator. -Practical examples and mini case studies including areas such as crisis communication external and internal, data capture and analysis and using external vs. internal team.

Advanced Compliance 409

#409

409: Board Overconfidence and Ethical Practices of Senior Management Jonathan Marks, Partner - Forensic, Litigation, & Valuation Services, Baker Tilly US, LLP View Description

-How the board can be misguided by management; -The Dunning-Kruger effect, which can be interpreted as people who are least competent tend to be most sure of themselves, while those with genuine skills are frequently wracked with doubts about their abilities; and, -What the Board can be doing to prevent overconfidence of management’s ethics from setting in?

Advanced Compliance 459

#509

509: It's Not Where You've Been; It's Where You're Going: Improving Compliance and the Employee Experience by Tackling Policy Proliferation Cynthia Creech, Corporate Policy and Standards, Cisco Systems Laura Ellis, Compliance & ESG Manager, SoftwareONE View Description

-How Cisco set to reduce complexity and frustration and improve compliance with an aspirational goal of reducing the number of companywide policies from 330+ to 33 and, along the way, align compliance posture with risk tolerance. -How did we do this? Why did we do this? And how did the collaboration between Policy Governance and Compliance & Ethics set off a chain reaction within Cisco to make compliance easier across the company? -In this session, we will walk through our often complex and frustrating process to optimize and consolidate, clear up inconsistencies and overlap and stop the madness of policy proliferation to improve both compliance and the employee experience.

Advanced Compliance 509

#609

609: Human Risk: Bringing Science to Compliance Christian Hunt, Founder, Human Risk View Description

-In the Knowledge Economy, people are often seen as the greatest asset of an organisation. Yet those assets also pose a bigger risk than ever before. -In fact, Human Risk, the risk of people doing things they shouldn’t or not doing things they should, is the largest single risk facing most organisations. -Yet this risk is widely managed by using techniques that rely on presumptions about human decision-making that aren’t valid. This presentation will explore how Behavioral Science can facilitate the management of Human Risk.

Advanced Compliance 559

#709

709: Advanced Learning from the Latest Data Breach Incidents Jonathan Armstrong, Partner, Cordery View Description

-How to reassess your current practices -Gleaning insights from enforcement actions and regulatory comments -Raising your risk level calculations

Advanced Compliance 609