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, LLC Jim Urso, Assistant Vice President - Treasury SecOps & GRC, Federal Reserve 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 Jim Urso, Assistant Vice President - Treasury SecOps & GRC, Federal Reserve Greg Triguba, Principal, Compliance Integrity Solutions, LLC 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, Merger & Acquisition Manager, Pfizer 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 Christopher Miller, Regional Compliance Officer North America, General Motors Rebecca Walker, Partner, Kaplan & Walker LLP 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 Hassan, Compliance Officer/Counsel, In Transition 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 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 View Description

• 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

#401

401: 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 View Description

• 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

#501

501: 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 View Description

-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

#601

601: RIM 101: Managing Risk and Designing a Compliant Information Management Plan Jacki Cheslow, Global Compliance Program Leader, IEEE View Description

• 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

#701

701: Designing Actionable, Memorable Risk Reports Melanie Herman, Executive Director & CEO, Nonprofit Risk Management Center View Description

-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

#W01

W1: 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 View Description

-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