18th Annual Compliance & Ethics Institute 2019

#P01

P1: Effective E&C Risk Management - Part 1: Framework, Program Essentials, and Core Practice Considerations Greg Triguba, Principal, Compliance Integrity Solutions Jim Urso, Assistant Vice President - Treasury SecOps & GRC, Federal Reserve IT View Description

• 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

#P09

P9: Effective E&C Risk Management -- Part 2: Operationalizing Risk Management and Taking your Practice to the Next Level Greg Triguba, Principal, Compliance Integrity Solutions Jim Urso, Assistant Vice President - Treasury SecOps & GRC, Federal Reserve IT View Description

• 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

#P17

P17: Is there a Doctor in the House? Diagnosing and Treating your Program Ills with Data Analytics Krista Muszak, GS SOX Controls and Compliance, Johnson & Johnson Louis Perold, Principal, Citadel Compliance View Description

-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

#P25

P25: Navigating the Murky (and Sometimes Treacherous) Waters of Conflicts of Interest Rebecca Walker, Partner, Kaplan & Walker LLP Christopher Miller, Regional Compliance Officer North America, General Motors View Description

• 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

#101

101: Mitigating Trade Compliance Risk - How to Build a Plane While Also Flying It! Gwendolyn Lee Hassan, Managing Counsel, Global Compliance & Ethics, CNH Industrial View Description

• 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

#201

201: Social Media & Compliance: A Match Made in Heaven or...? Kortney Nordrum, Regulatory Counsel & Chief Compliance Officer, Deluxe Corporation View Description

-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

#301

301: It's a Risk-Based Dinner Gathering - Compliance, ERM and Audit Joseph Pugh, Enterprise Risk Mgmt & Compliance Director, AARP