18th Annual Compliance & Ethics Institute 2019
Gaylord National, National Harbor, MD, United StatesRisk Track
Saturday, September 14
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08:30 AM - 12:00 PMSCCE's Annual Volunteer Project In additon to networking with your peers and listening to expert speakers, attending an SCCE Compliance & Ethics Institute gives you the opportunity to help a local area charity. Registration is free for this event and provides you with a volunteer t-shirt, lunch and transportation to and from the project location. It's a great way to start the CEI with fellow conference attendees, speakers, and SCCE board members.Networking 098
Sunday, September 15
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08:44 AM - 12:00 PMPre Conference Morning Session100
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08:45 AM - 10:15 AMBreakout Sessions#P01P1: Effective E&C Risk Management - Part 1: Framework, Program Essentials, and Core Practice Considerations Greg Triguba, Principal, Compliance Integrity Solutions, LLC Jim Urso, Assistant Vice President - Treasury SecOps & GRC, Federal Reserve
- Gain a deeper understanding of the basic roles, resources and fundamentals necessary to facilitate and manage an effective ethics and compliance risk management program.
- Explore the challenges, planning considerations and strategic solutions for implementing and leading effective ethics and compliance risk assessment processes.
- Consider real-world examples and scenarios that set the stage for identifying an organization's risk universe, prioritization efforts, and next steps for effective management and mitigation.
Risk 101 -
10:15 AM - 10:30 AMNetworking Break SundayNetworking
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10:30 AM - 12:00 PMBreakout Sessions#P09P9: Effective E&C Risk Management -- Part 2: Operationalizing Risk Management and Taking your Practice to the Next Level Jim Urso, Assistant Vice President - Treasury SecOps & GRC, Federal Reserve Greg Triguba, Principal, Compliance Integrity Solutions, LLC
- This session takes a deeper dive into effective risk management/mitigation strategies to include addressing challenges of maturing the Risk Management function and ensuring Risk Management concepts are encompassed as a part of day-to-day operations.
- Examine the pitfalls of an unincorporated Risk Management function, and how periodic "check the box" risk management exercises are the real risk to organizational success
- Discuss methods to successfully mature Risk Management functions, engage all levels of staff and leadership, and foster a Risk-conscious organization
Risk 109 -
12:00 PM - 01:30 PMSunday Lunch (On Your Own). Braindates Time Need Ideas for lunch? Check in with the registration desk to find where to go to grab a quick bite or to mingle with old friends or new peers.Networking
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01:00 PM - 04:45 PMPre Conference Afternoon Session200
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01:30 PM - 03:00 PMBreakout Sessions#P17P17: Is there a Doctor in the House? Diagnosing and Treating your Program Ills with Data Analytics Krista Muszak, Merger & Acquisition Manager, Pfizer Louis Perold, Principal, Citadel Compliance
-With access to so much data, where do you begin? How do you make sense of it all? How can you leverage the data to reveal gaps, mitigate risks and grow your compliance program? -Are you wrestling with how to manage and monitor your data to make sure you are in compliance with the ever-changing rules? -Answer these questions and discuss how you can use data analytics for risk assessments and to address other elements of an effective compliance program.
Risk 208 -
03:00 PM - 03:15 PMNetworking BreakNetworking
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03:15 PM - 04:45 PMBreakout Sessions#P25P25: Navigating the Murky (and Sometimes Treacherous) Waters of Conflicts of Interest Christopher Miller, Regional Compliance Officer North America, General Motors Rebecca Walker, Partner, Kaplan & Walker LLP
- Overview of conflicts of interest risk, its impact on organizations and compliance controls, including policies, questionnaires and approval methodologies
- Explore real-world fact patterns that require difficult judgment calls and balancing of interests
- Consider how to make decisions that can enhance the culture of integrity and sense of organizational justice
Risk 216
Monday, September 16
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07:00 AM - 08:00 AMContinental Breakfast, Exhibitor Networking and Braindates TimeNetworking
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08:00 AM - 08:15 AMOpening Remarks and Awards PresentationGeneral Session
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08:15 AM - 09:15 AMGeneral Session: From Crisis to an Electric Future: Inside the Cultural Transformation of One of the Largest Companies in the World. A Disscusion. Kurt Michels, Chief Compliance Officer, Volkswagen Group Matt Kelly, Editor & CEO, Radical Compliance -Starting a transformation in the aftermath of a crisis -Behind the scenes of Volkswagen’s cultural transformation: the strategies that drove the turnaround -Using a crisis to implement change: Lessons learned for compliance professionalsGeneral Session
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09:15 AM - 10:00 AMNetworking Break with ExhibitorsNetworking
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10:00 AM - 11:00 AMBreakout Sessions#101101: Mitigating Trade Compliance Risk - How to Build a Plane While Also Flying It! Gwendolyn Hassan, Compliance Officer/Counsel, In Transition
- Comprehensive review of emerging trade compliance risks faced by companies doing business internationally.
- Discussion of recent developments in trade sanctions, export regulations, tariffs and free trade agreements.
- How to stand-up and manage a trade compliance program "from scratch" including where to start and how to take it to the next level.
Risk 301 -
11:00 AM - 11:30 AMNetworking BreakNetworking
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11:30 AM - 12:30 PMBreakout Sessions#201201: Social Media & Compliance: A Match Made in Heaven or...? Kortney Nordrum, Regulatory Counsel & Chief Compliance Officer, Deluxe Corporation
-Learn from the mistakes of others - using real world examples to highlight social media risks lurking in your organization. -Learn best practices for using social media in your hiring and firing decisions (spoiler alert: it’s harder than you think). -Leave with guidance, checklists, and a sample policy to get the ball rolling toward your new social media compliance scheme.
Risk 351 -
12:30 PM - 01:15 PMNetworking Lunch & Braindates Time Starter: Spinach salad Entrée: Mustard and thyme chicken breast Dessert is served in the Exhibit HallNetworking
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01:15 PM - 02:00 PMDessert and Networking Break with ExhibitorsNetworking
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02:00 PM - 03:00 PMBreakout Sessions#301301: It's a Risk-Based Dinner Gathering - Compliance, ERM and Audit Stephanie Kandel, Compliance & Risk Management Director, AARP Services Inc. Joseph Pugh, Senior Director, Enterprise Risk Mgmt & Compliance, AARP Ryan Abdel-Megeid, Director, Internal Audit, AARP
- Panel will discuss the importance of having a risk-based compliance program and how Compliance, ERM and Audit have distinct yet complementary roles to executing the organization’s strategy
- Learn the value and relevance of ERM to the compliance function
- Strategies for engaging executive management to build the case for Compliance, ERM and Audit integration
Risk 401 -
03:00 PM - 03:15 PMNetworking BreakNetworking
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03:15 PM - 03:30 PMGeneral Session: DOJ Evaluation of Corporate Compliance Programs Guidance Document Matthew Miner, Deputy Assistant Attorney General, DOJ, Criminal DivisionGeneral Session
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03:30 PM - 04:15 PMGeneral Session: Investigations and Integrity in the Spotlight Michael Horowitz, Inspector General, United States Department of Justice Adam Turteltaub, Chief Engagement & Strategy Officer, SCCE & HCCA -Keeping your investigation focused while in the spotlight -How to find the relevant facts and avoid distractions -Writing a report that provides a true conclusion to the investigation and protects the integrity of your officeGeneral Session
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04:15 PM - 05:15 PMAuthor signing: Kirsten Liston, Creating Great Compliance Training in a Digital WorldNetworking
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04:15 PM - 06:00 PMNetworking Reception & Braindates Time Mingle with your peers and network with the exhibitors over some delicious appetizers after your long day of learning.Networking
Tuesday, September 17
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07:00 AM - 08:00 AMContinental Breakfast, Exhibitor Networking & Braindates TimeNetworking
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08:00 AM - 08:15 AMOpening Remarks and Awards PresentationGeneral Session
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08:15 AM - 09:15 AMGeneral Session: The Odebrecht Transformation - A Recovery from Compliance Scandal Olga Pontes, Coordinator of the Compliance Commission, IBDEE - INSTITUTO BRASILEIRO DE DIREITO E ETICA EMPRESARIAL Gerry Zack, CEO, SCCE & HCCA Odebrecht was central to the Operation Car Wash corruption scandal that began with the arrest in 2015 of the company’s former CEO. Since 2016, Odebrecht has been on a journey of cooperation and transformation, resulting in renewed respect for a company that had lost much of it. In this in-depth interview, hear directly from Odebrecht’s Chief Compliance Officer as she discusses: -Dealing with the initial shock and crisis -Developing a transformation plan -Implementing a new and world-class compliance functionGeneral Session
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09:15 AM - 09:45 AMNetworking BreakNetworking
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09:45 AM - 10:45 AMBreakout Sessions#401401: Antitrust: How to Navigate a Perilous But Underappreciated Risk Area Douglas Tween, Partner, Linklaters LLP Pedro de la Torre, Director, Global Compliance & Corporate Counsel, The Chemours Company Marvin Price Jr., Director of Criminal Enforcement, U.S. Department of Justice, Antitrust Division
- Discuss evolving competition compliance best practices, tools, and practical tips
- Learn strategies for conducting effective antitrust risk assessments and for auditing and monitoring high-risk activities
- Spot and remediate new and emerging antitrust risks, with a focus on HR, algorithms, blockchain, and hub-and-spoke agreements
Risk 451 -
10:45 AM - 11:30 AMNetworking Break with ExhibitorsNetworking
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11:30 AM - 12:30 PMBreakout Sessions#501501: Managing M&A Risk: Essentials for Conducting Compliance & Ethics Due Diligence Kasey Ingram, General Counsel & Chief Compliance Officer, ISK Americas Incorporated Daniel Harper, Vice President, Secretary & General Counsel, Carus, LLC
-How to recognize the ethics and compliance risks and considerations that arise during mergers, acquisitions, and related transactions, such as joint ventures. -How to mitigate deal-related ethics and compliance risks and considerations through due diligence, contract provisions, and strategic planning. -How to integrate ethics and compliance after the deal to identify and mitigate any post-closing ethics & compliance risks.
Risk 501 -
12:30 PM - 01:30 PMNetworking Lunch, Dessert and Last Chance to Visit with Exhibitors Starter: Lyon Bakery focaccia panzaella. Entrée: Glazed short ribs. Dessert is served in the Exhibit HallNetworking
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01:30 PM - 02:30 PMBreakout Sessions#601601: RIM 101: Managing Risk and Designing a Compliant Information Management Plan Jacki Cheslow, Global Compliance Program Leader, IEEE
- While we live in the Information Age, not all information created or received is equal.
- This session will focus on building a compliant and legally defensible plan to manage your records and information.
- During the session we will explore the record & information lifecycle, General Accepted Accounting Principles and the steps required to design a compliant and legally defensible record retention plan.
Risk 551 -
02:30 PM - 03:00 PMNetworking BreakNetworking
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03:00 PM - 04:00 PMBreakout Sessions#701701: Designing Actionable, Memorable Risk Reports Melanie Herman, Executive Director & CEO, Nonprofit Risk Management Center
-Attend this session to learn how to create compelling risk reports for a variety of audiences -Learn how risk dashboards have evolved including design tips for choosing data for a risk dashboard -Leave this session with ideas and insights you can use to inspire risk-aware decision-making by management and governing teams
Risk 601 -
04:00 PM - 04:15 PMNetworking BreakNetworking
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04:15 PM - 05:15 PMGeneral Session: The Limits of Trust Diana Henriques, Financial Author and Journalist , Author of Wizard of Lies -The Bernie Madoff scandal in 2008 cast new light on an age-old Challenge: Too often, our psychological and procedural defenses are set up to detect threats from the outside -How do we defend ourselves from the trusted criminal—the admired and respected high-achiever who wins our trust, and then betrays us? -Gain a better understanding of how Madoff's fraud can inform a smarter approach to keep us safe from such predators.General Session
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05:15 PM - 05:20 PMClosing RemarksGeneral Session
Wednesday, September 18
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08:00 AM - 11:15 AMPost Conference800
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08:30 AM - 10:00 AMBreakout Sessions#W01W1: Lock It Down: Protecting Your Data From Third-Party Security Risks Matt Kelly, Editor & CEO, Radical Compliance Fernanda Beraldi, General Counsel and Corporate Secretary, Inotiv, Inc. Edwin Broecker, Partner, Frost Brown Todd
-Review the current state of oversight that most companies have over business partners handling their confidential data, and why weak oversight is more a failure of policy and procedures rather than of IT security; -Understand the risk assessment process and other resources that companies can use to gauge and monitor data security risk with its vendors and other third parties; -Hear how one global corporation does track the third parties handling its confidential data, and the techniques it uses to ensure compliance with its data privacy and securities policies.
Risk 801 -
10:00 AM - 10:15 AMNetworking Break