All session times are in Eastern Standard Time (EST)
Friday, November 6
08:25 AM - 08:30 AMOpening Remarks
08:30 AM - 09:30 AMCulture of Compliance: Implementing Investigation Recommendations Jessica Tobias, Ethics Director and Compliance Investigator, The Ohio State University Donta Ingram, Compliance and Life Skills Coordinator, The Ohio State University Using the OSU Marching Band Investigation as a compliance case study, presenters will discuss:
- Implementing investigation recommendations to affect organization culture
- Developing a framework for new practices that reflect organizational values
- Testing and monitoring newly established controls
09:30 AM - 09:45 AMBreak
09:45 AM - 10:45 AMMaking Ethics and Compliance Popular: Becoming a Valuable Go-to Resource Josh Clemens, Director of Compliance & Compliance Officer, Boys & Girls Village, Inc.
- Pitfalls to avoid and tips for successfully facilitating difficult conversations between operational departments to support coordinated risk reduction, transparency, and agreement on process.
- Demonstration of how active management of data for compliance and ethics can give all levels of management improved visibility and strengthen strategic risk management.
- Case studies pulling it all together of collaborative efforts with operational departments to improve compliance and create a win-win of reduced total compliance effort.
10:45 AM - 11:00 AMBreak
11:00 AM - 12:00 PMCurrent Pressures in Whistleblower Retaliation, and the Effect on Compliance Program Effectiveness Lisa Fine, Director, Compliance for the Americas, Pearson Education Matt Kelly, Editor & CEO, Radical Compliance
- Review of recent whistleblower cases, both in corporate and government proceedings and how they may impact reporting and implications of these cases on day-to-day reporters
- Hear about best practices for encouraging reporting of wrongdoing and for protecting reporters from retaliation from a practitioner with experience in two different industries, and bring your experiences, questions and pressure points to the discussion
- We will also discuss situations where compliance officers have raised concerns and must escalate them to leadership, the board or externally
12:00 PM - 01:00 PMMid-Conference Break
01:00 PM - 02:00 PMManaging Ethics and Compliance Risk Related to Mergers and Acquisitions Kasey Ingram, General Counsel & Chief Compliance Officer, ISK Americas Incorporated Daniel Harper, Vice President, Secretary & General Counsel, Carus, LLC
- How to recognize and prepare for the ethics and compliance risks and considerations that arise during the due diligence process for mergers, acquisitions, and related transactions.
- How to mitigate transaction-related ethics and compliance risks and considerations through strategic planning and tactical due diligence.
- How to integrate ethics and compliance after the deal to identify and mitigate any post-closing ethics & compliance risks and address cultural concerns.
02:00 PM - 02:15 PMBreak
02:15 PM - 03:15 PMBuilding and Leading an Effective Ethics & Compliance Program Debra Hennelly, Founder & President, Resiliti
- How the compliance function can be a strategic partner in helping the organization manage risks (and opportunities)
- Elements of an effective ethics & compliance program and best practices to embed it in culture and operations
- Influencing leaders and driving behavioral change
03:15 PM - 03:30 PMBreak
03:30 PM - 04:30 PMThe Trouble with Moral Relativism Jason Meyer, President, LeadGood, LLC
- In an environment of self-confirming information bubbles, finger-pointing and hyper-partisanship, is there a risk of erosion of the bedrock upon which we work: shared core values?
- While research says some younger people are more likely to greet moral issues with an attitude of “Who am I to judge?”, others may indulge in the “cancel culture.” What does this mean for compliance?
- How does the language of ethics and compliance training, communications, and leadership need to adjust to tribalism and decreased engagement with any ethical polestar?