18th Annual Compliance & Ethics Institute 2019

#DG01

DG01: Secrets from In-House Ethics & Compliance Buyers: How to Keep the Gate and Your Sanity Jay Rosen, VP, Business Development and Monitoring Specialist, Affiliated Monitors, Inc. View Description

• Learn how to manage vendor relationships to maximize their value proposition and minimize persistent and time consuming sales pitches.
• Vendors believe they can make a buyer's life easier, but they must listen for "buying or non-buying" cues and modulate their contact proportionately.
• While the compliance community has seen that tomorrow's solutions for today's E&C issues come from the vendor community, in-house buyers respond to authentic vendor relationships as they easily can separate salesy bluster from those who really care.

Discussion Groups

#DG02

DG02: Being Comfortable with Discomfort Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. View Description

• Discuss some of the common friction points and speed bumps you encounter during workplace investigations and how to address them.
• Be prepared to respond both as a member of management and as the investigator when issues arise. Thinking in advance about these issues allows you to be prepared when they arise. And they will arise.
• Learn that the investigation process, by its nature, prevents us from being all things to all people. Learn how flexible you can be in accommodating management, colleagues, and investigation participants.

Discussion Groups

#DG03

DG03: Engaging your Board- The Importance of Relevance Paige Shannon, Vice President, Risk and Compliance, Kforce Inc. Adelle Elia, Chief Integrity Officer, Louis Berger View Description

• How do you as a Compliance Officer tap into your Board's current priorities to engage them?
• How compliance connects to the "hot topics" for Board members in 2019
• How does your organization's compliance function impact the Board's actions related to how culture impacts performance; cyber security; sexual harassment; board diversity; and shareholder activism.

Discussion Groups

#DG04

DG04: Retaliation: Real or Imagined in the Age of Speak-Up Cultures Albert Gagne, Former Director Ethics & Compliance, Retired View Description

• This Advanced Discussion Group will identify what exactly constitutes retaliation. -The group will discuss methodologies for identifying various forms of retaliation and how to deal with them.
• Finally, the group will address strategies for communicating a "Speak-Up" Culture for their respective organizations.

Discussion Groups

#DG05

DG05: What Keeps You Up at Night? How to Control Potential Travel and Expense Fraud Connie Hoen, Director - Global Audit Services, SAP - Concur Caroline Butterfield, Senior Program Manager, SAP Concur View Description

• Attendees will work alongside their colleagues to discuss what controls each have in place for Travel and Expense policy compliance. Discussing employee education, policies and responsibilities of your employees, managers and internal Audit teams.
• Ensuring compliance across Travel and Expense policies and regulations. Attendees will learn ways to identify the common fraudulent expenses included mileage, FCPA and Sunshine Act violations.
• This session will identify next steps after you have discovered non-compliant and fraudulent spend. Discussion will occur around how to measure fraud and anomaly compliance success.

Discussion Groups

#DG09

DG09: Communication Essentials for Compliance Officers Sally Afonso, Senior Regulatory Compliance Officer, HSBC - North America View Description

• Discuss strategies for influence, persuasion, and cooperation that will promote effective compliance programs and people
• Learn useful and creative frameworks for interpersonal communication in teams and organizations of all sizes
• Practice specific communication and relationship-building techniques, tailored to compliance officers objectives and challenges

Discussion Groups

#DG07

DG07: Cultures of Integrity - We Know What They Are and What They Should Look Like, but How Do We Get There? Mary Shirley, Senior Director, Ethics and Compliance, Fresenius Medical Care North America View Description

• Discussion of behaviors that define a good culture and what initiatives compliance can lead to inspire those behaviors
• Mood in the middle - how to get middle management to buy into demonstrating a culture of compliance and integrity
• Examples of what other companies just like yours are doing to build and establish a strong culture

Discussion Groups

#DG08

DG08: Building Ethics and Compliance Programs with Public-Sector Employees Angelique Dorsey, Ethics Officer, Washington Suburban Sanitary Commission View Description

• What are the best ways to impact ethical culture with employees who have been with the agency for over a decade?
• How does a program overcome the "this is the way we've always done it" syndrome?
• Techniques to translate ethics laws governing public employees into practice

Discussion Groups

#DG10

DG10: Making the most of your E&C network Jessica Tjornehoj, Manager, Global Ethics Strategy and Framework, US Bank Eric Brotten, Director, International & US-Domestic Compliance Programs, Optum View Description

• Professionals from all generations will learn about and share ideas around best practices for networking, being a connector, paying it forward, and thought leadership as an ethics & compliance professional
• Learn to leverage in-person events (like this conference!), affinity and professional associations, mentoring, networking, publishing, and social media to expand & share your expertise in E&C.
• Increase your reach as an E&C professional and influencer and participate in the #SCCEcei thread for hands-on practice of your new/improved networking skills! Let’s get #SCCEcei trending together!

Discussion Groups

#DG11

DG11: Compliance & Cannabis in the Workplace: Navigating the Changing Landscape of Legalization Amy McDougal, President, CLEAResources, LLC View Description

• Discuss how to manage legal cannabis use in the workplace; how it may impact your business
• Consider how to proactively plan for cannabis in your business; updating policies, delivering relevant training and adjusting monitoring protocols
• Learn about ways to prepare your corporate compliance and ethics program for legalized recreational and medical marijuana use in order to lead management's adaptation to the changing legal landscape

Discussion Groups

#DG12

DG12: Theory vs Reality in your Policies and Procedures - the Dangers of Aspirational Compliance Janet Himmelreich, Managing Director, 3Comply View Description

-Join the discussion to explore "aspirational" compliance and determine if you are a practitioner and to what degree -Using case study examples, determine the dangers that lurk among policies and procedures -Develop your action plan to uncover the drivers of aspirational compliance in your organization and steps to limit the dangers

Discussion Groups

#DG13

DG13: Role of the Compliance Officer in Preventing Perverse Performance Incentives That Can Drive Unethical Behaviors Eric Feldman, Senior VP and Managing Director, Corporate Ethics and Compliance Programs, Affiliated Monitors Inc. View Description

-Discuss why employee incentives, such as bonuses and promotions, should be properly aligned with corporate ethics and integrity objectives. -Identify through sharing of case examples how perverse incentives can contribute to employee misconduct. -Learn how Compliance Officers can play a value-added role in corporate performance management processes.

Discussion Groups