September 19 - 22, 2021
20th Annual Compliance & Ethics Institute
Las Vegas, Nevada, United StatesAgenda
All session times are in Pacific Daylight Time (PDT)
In-person
September 19–22, 2021 at the Aria in Las Vegas
Virtual
September 20–22, 2021
Sunday, September 19
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08:00 AM - 09:30 AMBreakout Sessions#P01P1 Polish Your Brand! Make Your Values Apply to Current Issues Art Weiss, Principal, Strategic Compliance and Ethics Advisors Marjorie Doyle, Principal, Marjorie Doyle & Associates, LLC
Subject Area: Ethics
Level: Intermediate
- Values are your brand/culture, so it’s essential to state them clearly in code and enforce them
- Values must be discussed in view of current issues for clarity with employees on how to act
- Decisions must be made on brand re: safety/COVID-19, climate change, treatment of others beyond the law
In Person#P02P2 Measuring Program Effectiveness with Data and Metrics Tanja Gromadzki, Corporate Compliance Manager/Legal, Chewy, Inc. Valorie Ciechanowski, Compliance and Privacy Director, Shockwave Medical, Inc.Subject Area: General Compliance/Hot Topics
Level: Intermediate
- Incorporating data and metrics into your compliance program
- KPIs are more than just numbers-they're critical data for your program!
- Reporting on program effectiveness to key stakeholders of your compliance program
In Person#P03P3 Conducting Remote Interviews in a Workplace Investigation Meric Bloch, Global Head of Investigations, Booking Holdings, Inc.Subject Area: Investigations
Level: Intermediate
- The advantages and disadvantages of remote instead of in-person interviews.
- How to prepare for the remote interview, especially the technological challenges presented.
- Techniques for conducting the interview, including new considerations and how to update your technique to maintain the quality of your questioning.
- How to tighten the other steps in the investigation process so that these other steps augment the new interview techniques.
In Person#P04P4 Building Boardroom Gravitas Giovanni Gallo, Co-CEO, ComplianceLine Nick Gallo, Co-CEO; Chief Servant, ComplianceLine, LLCSubject Area: Professional Skills
Level: Intermediate
- Assess personalities and agendas of employees to increase productivity
- Communicate and execute company vision while building a strong culture
- Get the whole team involved
In Person -
10:00 AM - 11:30 AMBreakout Sessions#P05P5 Managing the Most Difficult and Most Important Anti-Corruption Due Diligence Projects Ashley Coselli, Managing Counsel, Ethics, Compliance, & Int'l Trad, Total American Services Patrick Garcia, Chief Compliance and Integrity Officer, Parker Drilling Daniel Wendt, Member, Miller & Chevalier
Subject Area: Case Studies
Level: Intermediate
- Summarize important pitfalls to avoid in conducting due diligence in high-risk engagements
- Review how to approach difficult issues for different types of third parties
- Provide practical recommendations for managing stakeholders during the due diligence process
In Person#P06P6 Effective E&C Risk Management Practice: Program Essentials and Core Practice Considerations Greg Triguba, Principal, Compliance Integrity Solutions, LLC Caroline McMichen, Strategic Advisor, SAISubject Area: Compliance Risks
Level: Basic
- Gain a deeper understanding of the basic roles, approaches, and fundamentals of effective practice
- Explore challenges, planning considerations, and strategic solutions to achieve successful outcomes
- Leverage risk assessment findings and input to effectively prioritize, manage, and mitigate risk
In Person#P07P7 How a Grassroots Movement Founded the Compliance Career Connection Sarah Hadden, Publisher, Corporate Compliance Insights (CCI Media Group) Jay Rosen, VP, Business Development and Monitoring Specialist, Affiliated Monitors, Inc.Subject Area: Professional Skills
Level: Basic
- Discover how a random email to a stranger sparked the creation of an online support community for job seekers in compliance and security
- See how the movement jumped from the US to the UK, serving hundreds of job seekers via resume feedback, mock interviews, and networking-all by volunteers
- Learn to tap the power of the new culture of "virtual" networking to craft a career development strategy to maximize success in your own career journey
In Person#P08P8 Social Media: Old Platforms, New Risks Kortney Nordrum, Regulatory Counsel & Chief Compliance Officer, Deluxe CorporationSubject Area: Compliance Risks
Level: Intermediate
- Examine what has changed under the new administration (and what we expect to see in the future)
- Detail what these changes mean for your compliance program and employee training
- Delve into best practices and dos and don'ts for managing social media risk
In Person -
01:00 PM - 02:30 PMBreakout Sessions#P09P9 What Does Third-Party Compliance Monitoring Look Like in Real Life? Ronnie Kann, Head of Global Ethics & Compliance, Energizer Trent Sandifur, Taft Law
Subject Area: International/Multi-National
Level: Intermediate
- Provide practical solutions for monitoring third parties in compliance with the DOJ and SEC guidance
- Evaluate systems, people, and resources for processes that can be automated for ongoing monitoring
- Empower employees by fostering relationships, highlighting milestones, and building self-reliance
In Person#P10P10 Board Oversight of Compliance Programs: A Key Driver for Program Independence and Authority Rebecca Walker, Partner, Kaplan & Walker LLP Peter Anderson, Chief Ethics & Compliance Officer, Carnival CorporationSubject Area: General Compliance/Hot Topics
Level: Intermediate
- Key legal drivers for active and engaged board oversight
- All about board reporting and the C&E officer's relationship with the board
- Critical documentation of the board's role
In Person#P11P11 Sibling Rivalry: How to Manage the Relationship Between Ethics & Compliance and Human Resources Ellen Hunt, Principal Consultant & Advisor, Spark Compliance Consulting Lisa Fine, Senior Counsel and Director, Pearson Education Amii Barnard-Bahn, Executive Coach, Author, Speaker, Barnard-Bahn Coaching & ConsultingSubject Area: General Compliance/Hot Topics
Level: Advanced
- The sources of conflict between E&C and HR? How does this tension hurt the organization?
- The benefits when E&C and HR work together; some horror stories when everyone remains in silos
- How to build trust to bridge the gap between the two functions
In Person#P12P12 How to Build an Effective Data Privacy Program Scott Giordano, V.P., Corporate Privacy, and General Counsel, SpirionSubject Area: Privacy/Data Security
Level: Basic
- Understand the principles of an effective data privacy program and demands of typical privacy laws
- Review the necessary technical and organizational components of a program
- Execute a program that advances compliance with privacy laws and contractual obligations
In Person -
03:00 PM - 04:30 PMBreakout Sessions#P13P13 Applying the Latest DOJ Guidance to Your Program Analytics: A Practical Approach Kirsten Liston, Principal, Rethink Compliance LLC Andrea Falcione, Principal & Head of Advisory Services, Rethink Compliance LLC
Subject Area: General Compliance / Hot Topics
Level: Intermediate
- Learn what data and analytics can do for your compliance program - and what they can’t
- Ask the right questions: Numbers and graphs are useless without human interpretation
- Get started with analytics tools you can add to your compliance program today
In Person#P14P14 #MeToo and #Blackat: Investigating Anonymous Workplace Harassment and Discrimination Claims Alyssa-Rae McGinn, Vice President, Investigations, Dan Schorr, LLC Dan Schorr, Dan Schorr, LLC- Understand and apply current industry best practices for conducting climate and culture assessments/investigations following allegations of identity-based harassment, discrimination, and other misconduct
- Anticipate challenges in responding to such allegations in a sensitive, prompt, and thorough manner, and learn to identify possible corroboration for anonymous, initially unconfirmed allegations
- Identify obligations under federal and state law and your company's policies and procedures that will guide the response to concerning but anonymous allegations of discrimination and other misconduct
In Person#P15P15 Infusing Diversity & Inclusion into Your Compliance Program Cheyenne Ross, Vice President Compliance, P3 Health PartnersSubject Area: General Compliance/Hot Topics
Level: Basic
- The importance of including diversity and inclusion initiatives in your compliance program
- Exploring various diversity and inclusion initiatives that can influence your compliance program
- Effectively infusing diversity and inclusion initiatives in compliance programs and measuring the ROI
In Person#P16P16 Synergies, Intersections and Opportunities between ESG and Compliance Roy Snell, ESG Officer, Author of IntegrityWorks, Co-founder of SCCE/HCCA, Osprey ESG Software Jenny O'Brien, President and Principal, Blackbridge Advisors Lisa Beth Lentini Walker, CEO and Founder, Lumen Worldwide EndeavorsSubject Area: General Compliance/Hot Topics
Level: Intermediate
- ESG basics and how it will impact Compliance professionals
- ESG myths and facts and what’s new and not new
- ESG reporting relationships, standards and materiality
In Person
Monday, September 20
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08:15 AM - 08:30 AMWelcome and Opening RemarksIn Person/ Virtual
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08:30 AM - 09:30 AMGeneral Session 1: Canceling the Compliance Culture Jim Massey, Chief Sustainability Officer, Zai Lab Michele Abraham, Senior Director, Ethics & Compliance, Assoc GC, Cooper Standard Michael Littenberg, Partner and Global Head of the ESG, CSR & Business and Human Rights Compliance Practice, Ropes & Gray LLP Veleka Peeples-Dyer, Partner, Baker & McKenzie LLP 2020 tested the idea that a business can plan and reduce vulnerabilities for every risk. None of us passed. In an era of calling out things that no longer work, compliance must move from uncovering what went wrong to helping stakeholders do what is right. Employees, suppliers, consumers, investors, regulators, society, our planet -all demand to know brands and companies have their back. Business is the most trusted entity in the world, and that trust is only at 61%. Leveraging data and new ways of working, we have the opportunity to expand ethics from executive boardrooms to everywhere business operates. It is time to cancel what we thought was enough and build the next phase of compliance.In Person/ Virtual
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10:30 AM - 11:30 AMBreakout Sessions#101101 A Risk-Based Approach to Managing Employee Hotlines: The Home Depot and International C&E Programs Mia Reini, Sr Manager, Corp Compliance & Enterprise Risk Mgmt, The Home Depot Monica Reinmiller, Head of Global Compliance & Ethics, Assistant GC, Panasonic
Subject Area: Case Studies
Level: Intermediate
- How to use a bot to spot high-risk hotline reports
- Applying risk score and root cause analysis to hotline reports
- Developing dashboards to monitor hotline reports
In Person/ Virtual#102102 "Does Compliance Validate Parking?" Advice for CCOs on Managing Compliance Program Scope Creep Adam Balfour, Vice President and General Counsel for Compliance and Latin America, Bridgestone Melanie Sponholz, Chief Compliance Officer, Waud Capital Partners Ellen Hunt, Principal Consultant & Advisor, Spark Compliance ConsultingSubject Area: Professional Skills
Level: Intermediate
- What is the real role of the CCO and how to add value to your organization?
- Learn how to define the boundaries of your role while also collaborating with others
- Discuss practical scenarios for balancing collaboration and boundaries
In Person/ Virtual#103103 Recent Developments in Compliance Law: Using What’s New to Advance Your Program Rebecca Walker, Partner, Kaplan & Walker LLP Eric Hinton, Director, Rowling Center, Professor of Law, Southern Methodist University Dedman School of LawSubject Area: Compliance Lawyer
Level: Basic
- Review of the latest C&E guidance and requirements from the DOJ, SEC, EU and others
- Review of recent case law governing board oversight of C&E programs
- Consider strategies for using C&E legal developments to assess and enhance your program
In Person/ Virtual#104104 Detecting Deception Using the Cognitive Interview in Investigations Michael Johnson, CEO, Clear Law Institute, LLCSubject Area: Investigations
Level: Intermediate
- By watching video of an interview, you will learn which supposed signs of deception are valid and which are not.
- Learn how to use the research-based Cognitive Interview to gather more information from each witness and better detect deception.
- Learn how to use drawings, the "reverse-order technique," and spatial and time-based questions in investigative interviews.
In Person#105105 Beyond an Episode Of CSI: Money Laundering Threat Mónica Ramírez Chimal, Partner, Asserto RSCSubject Area: Compliance Risks
Level: Basic
- Get to know what money laundering is and how it differs to terrorist financing
- Listen to international cases to sharpen awareness to the impact money laundering has worldwide
- Learn key practical effective controls that work to minimize the risk of being used to launder money
In Person#106106 Current Developments in Compliance Programs’ Ethics Considerations for Compliance Officers and Attorneys Theodore Banks, Partner, Scharf Banks Marmor LLCSubject Area: Ethics
Level: Intermediate
- This session will provide an overview of the ethical considerations that face anyone involved in compliance activities whether or not they are attorneys
- Recent developments over the last year will be presented, including situations where compliance officers have become personally liable for failures in the compliance programs they were directing
- There will also be a discussion of certain areas, such as technology, posing ethical obligations that might surprise a compliance officer
In Person -
01:00 PM - 02:00 PMBreakout Sessions#201201 How to Make Your Anti-Corruption Compliance Program Best in Class Rebecca Rohr, Vice President, Anti-Corruption & Global Trade, Hewlett Packard Enterprise
Subject Area: International/Multi-National
Level: Advanced
- Learn the features of first-rate anti-corruption compliance programs beyond the basics
- Apply lessons from recent FCPA enforcement actions in a practical way for your company
- Using data, analytics, and looking at the future of compliance programs
- FCPA Due Diligence in Cross-Border Transactions
In Person/ Virtual#202202 Connecting the Dots: How to Bring Abstract Risks to Employee Reality Courtney Sander, Director of Compliance, Ontivity Harper Wells, Director, Compliance Insights & Strategy, True Office LearningSubject Area: General Compliance/Hot Topics
Level: Intermediate
- Discuss strategies for delivering training that is focused on behavior change
- Dive in to how to go beyond training to localize and contextualize risk
- Uncover examples of successful programs integrating training, reinforcement, and behavior change
In Person/ Virtual#203203 Maybe TV Isn’t Rotting Your Brain: Compliance Lessons from Pop Culture Kortney Nordrum, Regulatory Counsel & Chief Compliance Officer, Deluxe CorporationSubject Area: General Compliance/Hot Topics
Level: Basic
- Implementing policies and procedures with the Great British Bake Off and the NFL
- Training and education wisdom from Ted Lasso and Star Wars
- Incentives and discipline through the lens of the The Good Place and The Office
In Person/ Virtual#204204 The Convergence of Compliance and Data Governance Danielle Herrick, Sr. Director, Legal Compliance & Ethics, Bloom EnergySubject Area: Case Studies
Level: Basic
- Discuss the role compliance should play in an organization’s data governance framework
- Identify ways to proactively address compliance and data governance needs
- List data governance best practices
In Person#205205 Compliance Vital Signs: The Impact of the Updated DOJ Guidance on Measuring the Effectiveness of Your Compliance Program Alan Gibson, Director - Legal & Compliance Solutions , Microsoft Corporation Matt Kral, Director, Security, Controls & GRC Solutions Natasha Ellis, Director - Cyber, Risk & Regulatory, PwCSubject Area: General Compliance/Hot Topics
Level: Intermediate
- In 2020, the DOJ released updated guidance expanding the criteria for evaluating compliance program effectiveness
- The update specifies that programs must be well designed, implemented in good faith, and operating as expected
- In this session you will learn how data and analytics can be used to measure, report, and demonstrate compliance program effectiveness
In Person#206206 Tone at the Top: Getting the Culture Right James Black, Partner and General Counsel, Silverman AcamporaSubject Area: Ethics
Level: Basic
- Understanding that ethics is why and compliance is how-making sure that clear messages are sent. Don't let ethics be left unsaid on any level; integrate compliance into the life of the company at every level
- Compliance is leadership. Management must lead by example-visible leadership and management commitment to a compliance program and to the culture of compliance and ethics. Management must walk the talk with complete credibility and authenticity
- Doing the right things in the right ways for the right reasons-training across the organization. The tone at the top is not enough; it has to be in the middle and everywhere else. There must be a unity of corporate identity with regard to compliance
In Person -
02:30 PM - 03:30 PMBreakout Sessions#301301 Chief Ethics and Compliance Officers as Members of Boards of Directors: Why the Time has Come; What Boards Gain; How CECOs Grow and Benefit; How to Get There David Greenberg, Chair, Governance & Risk Assessment Committee, International Seaways Diana Sands, Director, Advisor, Retired C-Suite Executive Cindy Moehring, Founder & Exec Chair, Integrity Leadership Init., Walmart Stores Inc.
Subject Area: General Compliance/Hot Topics
Level: Intermediate
- Most CECOs often wonder what it would be like NOT just to report to their board, but to switch sides and become a member of a board
- Session to explore all aspects of what it’s like, how to get there, and what’s in it for both boards and CECO/board members
- We’ll also share perspective drawn from our collective experiences with senior leaders in the board search practices of major executive search firms -- to help us illuminate the paths to board positions.
In Person/ Virtual#302302 How to Defend Your Compliance Program in a Government Investigation or Enforcement Proceeding Bill Waldie, Managing Director, Alvarez & Marsal Kristen Marcelle, Head of Anti-Bribery and Corruption SGUS, Societe Generale Corporate and Investment Banking Patrick Campbell, Attorney, Baker & Hostetler LLP Brian Fields, CECO, STO Building GroupSubject Area: Compliance Lawyer
- Learn why having an effective compliance program is the best defense to a government investigation
- Learn what you can do now to put your compliance program in the best position to be defended later
- Learn the strategies and techniques for defending your compliance program to a regulator
In Person/ Virtual#303303 Communicate Across Cultures and Reach Your Global Workforce Jacki Cheslow, Global Compliance Program Leader, IEEE Mary Shirley, Head of Culture of Integrity and Compliance Education, Fresenius Medical Care North America Kirsten Liston, Principal, Rethink Compliance LLCSubject Area: International/Multi-National
Level: Intermediate
- Learn to speak to a global audience of many cultures AND meet new standards for tailored content
- See examples of creative training and communications that work for a global workforce and learn how to apply them in your own organization
- Discuss how and when to develop a single messaging solution and when to provide different (but cost-effective) tracks
In Person/ Virtual#304304 Personal Liability for Directors and CCEOs: What the Courts are Trying to Tell Us Fernanda Beraldi, General Counsel and Corporate Secretary, Inotiv, Inc. Edwin Broecker, Partner, Frost Brown ToddSubject Area: Compliance Lawyer
Level: Intermediate
- Review theories of liability from recent cases imposing liability on directors and CECOs
- Discuss lessons learned and best practices
- Leverage lessons learned to improve program effectiveness and mitigate risks of personal liability
In Person#305305 Managing Third-Party Risks at Every Stage of the Vendor Relationship Life Cycle Amy Boring, Attorney, King & Spalding LLP Shannon Cox, Counsel, King & Spalding LLP Grant Nichols, Partner, King & Spalding LLPSubject Area: Compliance Risks
Level: Intermediate
- Explore key compliance risks inherent in relationships with vendors, contractors, and subcontractors
- Understand DOJ and OIG expectations regarding each of the six stages of the vendor management life cycle
- Discuss current best practices to mitigate the risks associated with third-party relationships
In Person#306306 Cybersecurity Certifications (ISO 27001, SOC2, etc.): Why They Matter to Your Company & Your Customers Rachael Pashkevich Koontz, Senior Associate Counsel, Compliance/Cybersecurity, Morning ConsultSubject Area: Privacy & Data Security
Level: Basic
- Understand the purpose, value, and limitations of different cybersecurity certifications.
- Use cybersecurity certifications to improve your third-party due diligence
- Differentiate your company from competitors with cybersecurity certifications
In Person -
04:00 PM - 05:00 PMBreakout Sessions#401401 "Oh, the People You'll Meet...": Sharing Insights and Tactics to Delivering on the Compliance Value Proposition Samantha Kelen, Chief Compliance Officer, Stellar Health Jenny O'Brien, President and Principal, Blackbridge Advisors
Subject Area: General Compliance/Hot Topics
Level: Intermediate
- Overcoming challenging individuals that may be a barrier to achieving your program goals
- Strategies to building lasting partnerships to enable your workplan
- Articulating and delivering on your compliance program value proposition
In Person/ Virtual#402402 Why Is it So Hard to Create AI Solutions for Anti-Corruption Compliance? Megan Zwiebel, Senior Editor, The Anti-Corruption ReportSubject Area: International/Multi-National
Level: Intermediate
- Differentiate between the key terms involved in advanced data analytics
- Understand the steps in building an AI model, including building a team and training an algorithm
- Overcome the unique challenges of building an AI model for anti-corruption compliance with creative solutions
In Person/ Virtual#403403 Government Contractor Update: 2022 Paige Shannon Adelle Elia, SVP, Head of Ethics & Compliance - America's, WSP USASubject Area: Compliance Lawyer
Level: Intermediate
- Post-pandemic evolution of labor regulations (worker status, location of work, employee benefits)
- Trends from the Biden administration impacting ethics and compliance programs
- Key compliance changes for federal contractors
In Person/ Virtual#404404 Supply Chain Risk in the Defense Sector David Kessler, Vice President & Associate General Counsel, BAE Systems, Inc.Subject Area: Compliance Risks
Level: Basic
- Learn about the issues and concerns that face the defense sector with regard to supply chain risk
- Gain an understanding of the new laws and regulations requiring compliance by the defense sector
- Learn best practices for complying with supply chain risk issues in the defense sector
In Person#405405 Collaboration and How 1 + 1 > 2 Frank Ruelas, Corporate Responsibility Officer, CommonSpirit Health/SJHMC Scot Lovejoy, Chief Pharmacy / Compliance Officer, Agadia Systems, Inc.Subject Area: Professional Skills
Level: Basic
- How communication, clear objectives, and conflict management contribute to collaboration
- Signs to look for to spot breakdowns in collaboration and how to address them
- How effective collaborators in history can make us better collaborators today
In Person#406406 Effective Partnership Strategies with Your Board of Directors: 2021 Update Michael Volkov, CEO, Volkov Law Group LLC John Fons, In transition, In transitionSubject Area: General Compliance/Hot Topics
Level: Intermediate
- Chief compliance officers must develop an effective working relationship with its board of directors
- Recent court decisions and on-going cases, including Boeing, have increased risks for board members
- This session will identify positive strategies to increase board engagement and increase board support
In Person -
05:00 PM - 06:30 PM20th Anniversary Networking ReceptionIn Person
Tuesday, September 21
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07:00 AM - 08:00 AMBreakout Sessions#EB01EB1 The Beauty and Brains of Actionable Data: From Concept to Reality in Data Storytelling Dr. Joe Perez, Senior Systems Analyst, NC Department of Health & Human Services
Subject Area: General Compliance/Hot Topics
Level: Intermediate
- Anyone can make a pretty bar graph, but can you make sound decisions based on that graph? How do you turn flashy concepts into actionable visualizations? Can you see the end result? Do you have the vision and drive to make your ideas become reality?
- What value do you see in your data? Does it answer a question, solve a problem, or help you make a decision? Learn how to capitalize on this concept by leveraging your ideas into a cohesive PUSH/PULL strategy for both short term AND long term
- When RIGIDITY meets FLEXIBILITY why do you get COMPLEXITY? In this session, see the five "Stages of the Spectrum" in action while discovering the difference between impact and influence and how that plays into best practices for making data actionable
In Person/ Virtual#EB02EB2 Willful Blindness: Why We Fail to See What We Need to See Michael Hood, Director, 21st Century Learning & ConsultingSubject Area: Ethics
Level: Advanced
- Even though each of us may hear the same directions or see the same picture, our brains will process and filter the information differently. These differences can cause us to misinterpret direction leading to unethical behavior and actions
- Have you ever said something that you regretted? Every one of us has, but did you notice how quickly your brain was able to rationalize what you said? Rationalization occurs swiftly and frequently allowing you to justify things you ordinarily wouldn't
- Whenever you see a problem, you try to frame it in order to diagnose what to do. What happens when you frame the problem incorrectly? By creating different frames, you can increase ethicality by considering decision alternatives with different frames
In Person/ Virtual -
08:20 AM - 08:30 AMWelcome and Opening RemarksIn Person/ Virtual
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08:30 AM - 09:30 AMGeneral Session 2: Compose Your World - Innovation and Embracing Change