All session times are in Central Daylight Time (CDT)
Monday, September 14
-Breakout Sessions#WTFEESWire Traansfer Fees
08:50 AM - 09:00 AMOpening Remarks
09:00 AM - 10:00 AMGeneral Session: Lessons Learned from the COVID-19 Pandemic Justin Ross, Chief Compliance Officer, FedEx Blair Marks, Vice President, Ethics and Business Conduct, Lockheed Martin Art Weiss, Principal, Strategic Compliance and Ethics Advisors Adam Turteltaub, Chief Engagement & Strategy Officer, SCCE & HCCA
- Working with distributed workforces, including the compliance team, itself
- Adjusting to rapidly changing situations and risk profiles: how to stay compliant while the ground is still shifting
- Implications for post-pandemic compliance programs and looking to the new normal
10:15 AM - 11:15 AMBreakout Sessions#101101 The Landscape of Fraud in 2020 Bruce Dorris, President & CEO, Association of Certified Fraud Examiners
General Compliance Intermediate#102102 The Ups and Downs of Social Media Compliance Kortney Nordrum, Regulatory Counsel & Chief Compliance Officer, Deluxe Corporation
- The latest ACFE research into how fraud is perpetrated, how it is detected, and who the perpetrators are
- Trends in what organizations are doing to protect themselves from would-be fraudsters, including how they employ various anti-fraud technologies
- What anti-fraud controls have the greatest impact, and variations in how the fraud investigation function is positioned and approached.
Risk Intermediate#103103 The Compliance Olympics: What were the Gold Medal Performances of the Last 12 Months? Jonathan Armstrong, Partner, Cordery Mary Shirley, Head of Culture of Integrity and Compliance Education, Fresenius Medical Care North America
- Examine the risks of employee and company use of social media
- Learn where the risks hide and how to find them, identify them, and fix them
- Leave with a sample social media policy and tips on how to implement best practices
International#104104 Privacy Compliance 101 Bradley Hammer, Attorney - Founder, Vakaris Robert Bond, Senior Counsel, Privacy Partnership Law
- By popular demand, the speakers are returning with a comprehensive look at some of the main issues affecting compliance globally. We’ll contrast and compare between the main theatres of operation - the Americas, EMEA and Asia Pacific in a truly international and diverse panel.
- Top rated speakers discuss a wide range of issues including how regulators are adapting to the ‘new normal’, cyber threats, bribery and corruption, workforce compliance issues (like modern slavery and immigration), privacy, the increasingly global nature of the media and whether ‘legal’ is ever enough.
- Common threads running across borders will help you manage your global operations effectively whilst staying sensitive to local cultures.
Privacy/Security Basic#105105 Highly Regulated and Limited Resources Doesn't Have to Mean Boring Dana Gillett, Corporate Compliance Manager, OGE Energy Corp David Douglass, FERC Compliance, Evergy, Inc.
- While questions abound as to the impact of current and forthcoming data privacy regulation around the world, compliance programs must be responsive to current regulatory frameworks and business needs as well as adaptable to the changing landscape.
- This session starts by providing tools to understand how to evaluate the privacy risk and regulatory impact of your business: What data do you have? What laws are you subject to? How do you determine risk? How do you talk to the business about privacy?
- Once we go through evaluating your compliance needs, we will discuss basic strategies for putting together a compliance plan and program that is effective at mitigating current risk and adaptable to changes in the law and business.
UtilitiesEnergy Intermediate#106DG106 Cultivation of Culture and Compliance Partnerships - Session Full Jaclyn Badeau, President, Badeau Consulting, LLC Ashley Lewis, Director of Ethics, Compliance, Strategic Programs, McAfee
- Learn about implementing a Compliance and Ethics Week and other training opportunities on a budget
- Discover how to develop communications, utilize blogs and company aps, and develop awareness tools like video shorts
- Explore entertaining ways to effectively promote your compliance program
- Cross functional partnerships: who to connect with how often and why.
- Engaging employees: why engagement is key to proving Ethics and Compliance is not the enemy.
- Rebranding your hotline solution: why words matter and how you can use words to connect with your employees.
Due to the interactive nature of the Discussion Groups, these sessions will be limited to 40 attendees and require preregistration.Discussion Groups Basic#107107 Calling all Champions! Best Practices for Expanding Your Ethics Programs Footprint by Establishing and Promoting an Ethics Champions Network Cristina Potter, Vice President, Chief Ethics and Privacy Officer, SAIC Shauna Brookshier, Sr Ethics Analyst, SAIC Chelsea Dunkle, Associate, Ethics & Compliance, Booz Allen Hamilton
Ethics Intermediate#108108 Beyond Awareness - Build A Compliance Program That Will Leave Your Employees Cheering Adam Balfour, Vice President and General Counsel for Compliance and Latin America, Bridgestone
- In a time when cost cutting and shrinking resources are commonplace, how do you "sell" an Ethics Champions program to your Board and leadership?
- So you have buy-in, what steps can you take to make your Ethics Champions program roll-out a success?
- Maybe you've successfully launched an Ethics Champions program, now how do you prove its impact?
Case Study Intermediate#109109 New Tone at the Very Top: CECOs on Boards, Why it Matters, How to Get There Ellen Hunt, Principal Consultant & Advisor, Spark Compliance Consulting David Greenberg, Special Advisor, LRN Corporation Ben DiPietro, E&C Content Stretegist
- Too many companies make the mistake of focusing on raising awareness about their compliance programs.
- Brand experts look past brand awareness to measure brand relevance and resonance. Compliance must do the same in order to engage your employees and get their buy in.
- Hear practical and cost-effective ideas that have worked and left employees cheering and punching the air in celebration during compliance trainings (including Bridgestone’s Compliance Battle Royale)
Professional Skills Advanced
- How boards are looking for skills possessed by many chief ethics and compliance officers, but often don't think of CECOs as board candidates, and what CECOs can do to market their skills, build their networks, and enlist support
- What CECOs board members contribute to public and private companies
- How serving on a board makes one a better CECO and executive
11:30 AM - 12:30 PMBreakout Sessions#201201 Creating Great Compliance Training in a Digital World Kirsten Liston, Founder & Principal, Rethink Compliance LLC Tricia Cornell, Head of Creative Services, Rethink Compliance Rachel Batykefer, Senior Director, Compliance Corporate Compliance, Mallinckrodt Pharmaceuticals
General Compliance Intermediate#202202 Antitrust Compliance 2.0: Tackling the Toughest Parts of the DOJ Compliance Program Guidance Pedro de la Torre, Director, Global Compliance & Corporate Counsel, The Chemours Company Tim Bridgeford, Sr Dir Antitrust Compliance, Walmart Douglas Tween, Partner, Linklaters LLP Marvin Price, Dir Criminal Enforcement, USDOJ
- Reach and persuade your workforce through outstanding training.
- Focus on the needs and attitudes of a 21st-century audience.
- Train yourself and your staff to think like a lawyer, talk like a human.
Risk Intermediate#203203 Asia, State of the Union - Compliance Relations in Asia Mark Stanley, SVP and General Counsel Asia Pacific, Fresenius Medical Care Asia Pacific Jason Chang, Of Counsel, DLA Piper LLP (US) Jimmy Chatsuthiphan, Director, Compliance & Ethics APAC, Uber Technologies
- Examine in detail the latest U.S. Department of Justice Antitrust Division compliance guidance
- Understand the DOJ’s expectations with respect to risk assessments, auditing and monitoring, information exchange, and tracking competitor contacts
- Learn evolving competition compliance best practices, tips and tools from in-house experts and former enforcers to manage risk
International Intermediate#204204 California Consumer Privacy Act Enforcement Update Jana Terry, Attorney, Beckstead Terry PLLC
- Recent regulatory enforcement activity affecting the region
- Its vast and diverse geopolitical, business, and compliance challenges
- Practical tips and solutions for compliance professionals
Privacy/Security Intermediate#205205 Investigating and Communicating Compliance in Far-Flung Places: Challenges with a Distributed Workforce Tameka Ramsey, Mgr Global Compliance & Ethics, ConocoPhillips Eric Morehead, Director, Advisory Services, LRN Corporation
- The final CCPA regulations (published in Summer 2020) contain requirements that go beyond the CCPA itself. We will cover the highlights and provide action items for ensuring that your CCPA program complies with both the law and the regulations.
- July 2020 was the first month that the California Attorney General could enforce the CCPA. This session will provide information regarding the AG's enforcement actions and how they reveal enforcement priorities.
- How have plaintiff's lawyers reacted to the CCPA's private right of action? This session will update you on the individual and class action lawsuits filed to date and identify ways that you can shore up your CCPA program to reduce the risk of litigation.
UtilitiesEnergy Intermediate#206DG206 Cultures of Integrity - We Know What They Are and What They Should Look Like, But How Do We Get There? - Session Full Jonathan Turner, VP, Compliance, Privacy & Governance, Zoll Medical Corporation Julie Basha, Ethics & Compliance Officer, Fresenius Medical Care NA
- How to build trust with employees in remote and unique work locations and how to keep them engaged in building a culture of ethics and compliance
- Barriers to expect when investigating concerns or trying to communicate compliance expectations in a remote location or to a distributed workforce
- Strategies to overcome impediments to successful investigations or compliance communication plans
- Discussion of the elements of behaviors that define a good culture. Your Compliance Week is not enough to shape culture. Join us for initiatives that have long term positive effects to embed a culture of integrity into the DNA of your business
- Mood in the Middle - learn about data points that will 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. These are cost effective and immediately actionable take-aways for you to apply as soon as you get back from the conference!
Due to the interactive nature of the Discussion Groups, these sessions will be limited to 40 attendees and require preregistration.Discussion Groups Advanced#207207 TBAEthics Intermediate#208208 Boeing's 737 MAX: A Trifecta of Ethics & Compliance Failures Michael Fricke, Sr. Lecturer, Management & Organizations, University of Arizona Eller College of Management
Case Study Basic#209209 Keep Calm and Compliance On - 2.0 Edition Lisa Beth Lentini Walker, CEO and Founder, Lumen Worldwide Endeavors Diana Trevley, Senior Counsel, Global Compliance, CyberArk
- How Boeing's organizational culture stifled concerns about safety and ethical behavior, and how your organization can steer clear of this type of culture
- How regulatory and compliance failures turned a surmountable challenge into a global disaster, and what we can learn when it comes to our own compliance efforts
- How ethical leaders take ownership of challenges and use moral imagination to come through them even stronger, and how Boeing's leadership failed the test
Professional Skills Basic
- This session is full of fun and hands-on activities exploring practical ways to implement growth mindset, mindfulness and gratitude practices into your daily life.
- Discover more scientific-backed strategies to deal with burnout and crises and learn about happiness traditions and practices from around the world, from hygge in Scandanavia to hooponopono in Hawaii.
- Leave with your own customized game-plan for Keeping Calm and Compliance On, designed to transform you from stressed-out compliance professional to effective and energetic leader.
01:15 PM - 02:15 PMGeneral Session: Fraud Is Not a Trade Secret: A Conversation with Tyler Shultz Tyler Shultz, Theranos Whistleblower & Entrepreneur Rebecca Jarvis, Emmy Award-Winning Journalist
- How can a company acquire a $10 billion valuation built on fraud? How does a 20-something Stanford dropout deceive esteemed statesmen and titans of the industry? What leads someone to defraud hundreds of employees, thousands of investors, and millions of patients on an unprecedented scale?
- Tyler Shultz, the man most responsible for bringing down Theranos, answers these questions and more. In a compelling conversation, Shultz takes audiences through his time as an employee at Theranos, discussing everything from his relationship with Elizabeth Holmes, to the faulty blood testing technology, to his efforts to expose the truth about Theranos
- With humility and candor, Shultz addresses the importance of corporate governance, modern-day business ethics, Silicon Valley culture, and the lessons the corporate world can learn from Theranos’ historic fraud
02:30 PM - 03:30 PMBreakout Sessions#301301 Unconscious Bias, Cognitive Errors, and the Compliance Professional Michael Johnson, CEO, Clear Law Institute, LLC
General Compliance Basic#302302 From Data to Insights: Managing Risk using Continuous Monitoring Analytics Kara Bonitatibus, Head of Product, Lextegrity John Rah, Partner, DLA Piper Andy Miller, Chief Analytics Officer, Lextegrity
- Strategies for compliance professionals to avoid and reduce the impact of unconscious bias and cognitive errors in their work
- Cognitive errors that can impact compliance officers during investigations, including affinity bias, confirmation bias, expectancy effects, investigator bias, lie bias, priming, trustworthiness bias, and Dangerous Decisions Theory
- Unconscious bias towards social groups, including how to assess bias using the Implicit Association Test
Risk Intermediate#303303 How to Conduct Independent Investigations on Foreign Operations Renata Muzzi, Partner, TozziniFreire Advogados Geert Aalbers, Partner, Control Risks Shin Jae Kim, Partner, TozziniFreire AdvogadosInternational#304304 Learn More from Your Data While Improving Data Security Josh Clemens, Director of Compliance & Compliance Officer, Boys & Girls Village, Inc. Dusan Velickovic, Director of Business Intelligence, Boys & Girls Village
- Understand the current analytics landscape for both compliance and audit disciplines.
- Learn how to leverage the massive enterprise data stores to generate insights and expose spend risk from all areas of your business.
- See why visual analytics are the secret weapon to investigating issues in real-time and collaborating across disciplines in your organization.
Privacy/Security Intermediate#305305 Leveraging Culture at Utility and Energy Companies Alistair Raymond, Vice President - Chief Compliance Officer, Avangrid, Inc. Alexander Tait, Chief Compliance Officer, Avangrid Renewables Andrew Jacobs, Avangrid Networks, Inc.
- Lessons learned from shifting a mid-sized non-profit smoothly from various unique practices and processes to an organized electronic data driven operational management culture.
- Overview of easy to implement free or inexpensive tools and best practices for secure collection and organization of data from staff and clients to improve staff ownership and management reporting.
- How Boys & Girls Village makes the most of our data for compliance, inventory management, staffing optimization, and effective forecasting.
UtilitiesEnergy Advanced#306DG306 Identifying Personnel Needs and Leveraging Varied Skill Sets to Staff an Effective Compliance Department - Session Full Martha Radocy, Compliance Program Director, Priceline Gregory Bates, Member, Miller & Chevalier Felipe Garcia, Ethics & Compliance Director - Americas, Salesforce.com
- Stakeholders are demanding that companies change the way they behave as a result of scandals and evolving values
- Energy companies, and in particular utilities, face cultural challenges in areas such as ageing workforce demographics, embedded labor practices, increased diversity across service geographies, and a traditional risk aversion to change
- Learn about the formal and informal systems that shape culture and conduct, including industry trends, recent behavioral science research, and practical solutions
- Align the compliance programs staffing needs with the organization’s commercial strategy and risk assessment
- Align the compliance programs staffing needs with the organization’s commercial strategy and risk assessment -Evaluate the compliance programs personnel needs versus existing resources to identify strengths, weaknesses, opportunities, and threats
- Consider various ways to fill resource gaps, including providing employee growth opportunities, repurposing team members, and leveraging employees outside the core Compliance department to achieve program effectiveness
Due to the interactive nature of the Discussion Groups, these sessions will be limited to 40 attendees and require preregistration.Discussion Groups Intermediate#307307 Talent Management and Ethics Outreach: How Lockheed Martin Reaches out to Future Engineers David Gebler, Principal, Ethics Engagement, Lockheed Martin Blair Marks, Vice President, Ethics and Business Conduct, Lockheed Martin
Ethics Advanced#308308 Building a Culture of Compliance Kathleen O'Toole, Sr Coun Global Compliance & Safety, McDonald's Corporation Elizabeth Brown, Acting General Counsel, CSC Generation Holdings, Inc.
- Participants will explore the importance and benefits of a defined academic engagement program
- The discussion will include a review of academic outreach programs, such as case competitions and on-campus speaking engagements
- We will examine ways to partner with professionals in the talent management and university relations organizations
Case Study Intermediate#309309 60 Minute Compliance Coach: Solutions to your Sleepless Nights Amii Barnard-Bahn, Executive Coach, Bestselling Author, Speaker, Barnard-Bahn Coaching & Consulting Mary Shirley, Head of Culture of Integrity and Compliance Education, Fresenius Medical Care North America
- Learn strategies for building and/or enhancing a culture of compliance within organizations, including leveraging internal resources and tailoring approaches based on company profile, discussed in relation to the recent government guidance documents.
- Discuss specific employee compliance engagement methods, such as activities and events, communications, and training initiatives, based on real-world examples and case studies from McDonald's and Groupon.
- Review innovative and cutting-edge training and involvement strategies, including AI and predictive modeling.
Professional Skills Advanced
- To be an effective Compliance Officer, you need to be a high performer not just technically but also navigating office politics and tricky soft skills issues. This session will impart actionable takeaways from a qualified and experienced executive coach
- Sit down with Amii and Mary to hear about approaches for dealing with some of the most common and complex professional problems for Compliance Officers including difficult stakeholders, championing yourself to promotions and negotiating pay increases.
- In addition to hearing about solutions for managing upwards when you have an incapable or difficult boss, rising above malicious colleagues and getting yourself a seat on the board, you'll have an opportunity to pose your own quandaries coached to success
03:45 PM - 04:45 PMBreakout Sessions#401401 Building an Effective Policy Management and Governance Program with Intention Jami Bailey, Lead Compliance Analyst - Policy Governance, AT&T
General Compliance Basic#402402 The Use of Big Data to Reduce Risk Douglas Dunham, Ethics Analysis Director, Lockheed Martin Ellen Daly, Ethics Analysis Sr. Mgr, Lockheed Martin
- Scoping the policy opportunity, understanding the state of your policies.
- Gathering stakeholders and building the case for change.
- Evolving beyond policy as just a document, making policy matter.
Risk Intermediate#403403 Building Organizational Trust and Trust in the Compliance Team Ana-Paola Capaldo Aoun, Assistant General Counsel, TD SYNNEX Jannica Houben, Vice President, Global Legal Transformation, TD SYNNEX Jacki Cheslow, Global Compliance Program Leader, IEEE Raymond Justice, President & Managing Director, Justice Development Solutions, LLC
- Utilize data analytics to evaluate worksite ethics risk.
- Identify factors that may contribute to increased risk and potential need for enhanced engagement.
- Develop a database and algorithmically assign a risk score for each worksite to prioritize outreach efforts and maximize risk mitigation.
International Advanced#404404 What Red Adair Teaches us About Cybersecurity Jonathan Armstrong, Partner, Cordery
- How do you keep the company focused on enhancing and enforcing a culture of compliance during a crisis?
- Are you measuring the impact of the pandemic on your compliance program and incident reporting?
- What steps have you taken to ensure that your employees around the world continue to trust you and the process? How do you keep the momentum going as we begin to resume in person workplaces?
Privacy/Security Intermediate#405405 Making Compliance and Ethics Relevant: Perspectives from the Utilities Industry Natalie Walker, Compliance Counsel, Verizon Angelique Dorsey, Ethics Officer, Washington Suburban Sanitary Commission
- Advanced learning from the latest data breach incidents
- How to reassess your current practices & raise your risk level calculations
- Glean insights from enforcement actions and regulatory comments
UtilitiesEnergy Basic#406DG406 "This is Not the Hill I'm Going to Die On" and Other Rationalizations Used by Even the Very Best Compliance Professionals. (This session Should Make You Uncomfortable) - Session Full Steven Priest, President, Integrity Insight International
- Successful compliance program tips for organizations where the risks are localized, but significant; there is exposure from state and local regulators and elected officials; and there is direct impact from customer complaints
- Practical and effective ways to demonstrate the importance of compliance and ethics to all employees, especially those who do not have office jobs
- Ways to leverage the utilities industry's safety-oriented culture to heighten the prominence of organizational core values and the Code of Conduct
Discussion Groups Intermediate#407407 Ethics and Compliance: Same or Different? Grace Wu de Plaza, Group Head of Ethics, Ferguson Krista Jones McAninley, Senior Director & Deputy General Counsel, Ferguson
- SCCE sessions focus a lot on shaping the behavior of employees, managers and leaders in an organization. This is right and good. However, what about you? As a compliance professional, you are faced with special challenges. This session focuses on you.
- We will explore common and not so common situations that compliance professionals face. The session will articulate the main issues, personal and professional challenges, and how to overcome them with integrity and --hopefully--a job.
- The session will use real world cases as the foundation. Self-reflection and discussion with your peers in small groups will unpack the cases.
Ethics Basic#408408 Case Study: Involving Employees to Bring your Ethics & Compliance Communication Campaigns to Life Ronald Feldman, President & Creative Director, Learnings & Entertainments Ula Ubani, Chief Ethics Officer, BMO Financial Group Brendan Miller, Compliance Associate, Federal Reserve Bank of New York
- Some companies bifurcate the ethics and compliance functions. This session will explore the benefits and challenges to this approach.
- Discussion will focus on the similarities and differences between the two functions, using approaches to training and policy creation as examples.
- Attendees will leave with a better understanding of how both the ethics and compliance functions are essential in demonstrating an effective ethics and compliance program pursuant to the 2019 Department of Justice Guidance
Case Study Intermediate#409409 Considering Consulting or Starting Your Own Compliance Business? What to do NOW to Prepare for Success
- Discuss the organizational benefits of involving your employees in communicating and promoting ethics, compliance and the importance of speaking up.
- Case Study: Review BMO's BMO-on-the-Street with Actions Matterly" speak up communications campaign. Discuss rationale, obstacles, logistics, and results.
- Case Study: Review the NYC Fed's "In-Fed-Stigate" compliance and risk awareness campaign. Discuss rationale, obstacles, logistics, and results.