Handouts

Overall Survey | CEU Application | Conference Agenda

Don't Let Red Flags Go Undetected: Anti-corruption Compliance Auditing

Juliette Gust, President, Ethics Suite

  • Conducting a vulnerability assessment to identify corruption risks and select audit location targets
  • Preparing a comprehensive anti-corruption audit workplan and completing pre-audit activities
  • Conducting an anti-corruption compliance program audit and determining post-audit requirements

Presentation
Evaluation

Is Your Hotline Hot? Discovering Tools for Auditing and Monitoring

J. Veronica Xu, Chief Compliance Officer, Saber Healthcare GroupHide Description

  • Discover and understand the hidden messages in your hotline data
  • Prioritize real risk areas based on your own actual statistics
  • Develop processes and tools to assist with your auditing and monitoring efforts

Presentation
Evaluation

You Can’t Manage What You Can’t Measure: How Compliance Can Seize Business Benefits and Meet Regulator Expectations from Establishing, Monitoring, and Auditing ESG Metrics

Anita Woodhouse, Chief Compliance Officer, V-Square Qualitative Management, LLC
Michele Edwards, Partner, StoneTurn Group
Lisa Van Houten, Managing Director, StoneTurn Group
Marnie Gucciard, Director, Global Ethics & Compliance, Sims Limited

  • How compliance can play an increasingly important role in business decisions related to ESG activities
  • How compliance works with audit to lead process design, implementation, and monitoring that meet SEC Standards
  • How to develop key ESG metrics that will be increasingly important to global regulators

Presentation
Evaluation

Proactive Auditing and Monitoring - Ways to Ensure Your Compliance Program Is Effective

Shelly Denham, SVP, Compliance, Risk & Audit Services, UofL Health, Inc.
Jason Marsh, Director, Compliance, Risk and Audit Services, UofL Health

  • Identifying compliance risk areas for your audit and monitoring plan
  • Creating an enterprise risk assessment and ensuring the work plan addresses identified risks
  • Monitoring effectiveness of the audit work plan

Presentation
Evaluation

Compliance Auditing - Three Objectives Approach

Grzegorz Kostrzewski, Director, Internal Audit, Renewable Energy Group

  • How to apply concept of the "Three Objectives" approach for compliance auditing
  • Objectives: Are we compliant? How did we obtain compliance? Can we do it better next time?
  • Increase management's involvement and drive appropriate actions post completed audit

Presentation
Evaluation

Auditing & Monitoring the Deep Dive - Breaking the Cycle While Improving Process

Ashley Blackwood, Manager, Compliance, MIMEDX

  • Utilizing dashboards, statistics, and other metrics to continuously evaluate, track, and observe
  • Why auditing and monitoring and continuous process improvement go hand in hand
  • Discuss company culture and the impact it has on the success of auditing and monitoring efforts

Presentation
Evaluation

Cancelled Session: Effective KPI Dashboards and Compliance Metrics

Dawn Gresham, Director of Acquisition Policy, Commerce

  • Identify dashboard metrics for compliance risk management using the COSO Framework
  • Identify Key Risk Indicators (KRI’s) that should be tracked for your compliance program
  • Identify the Key Performance Indicators (KPI’s) to track for your compliance program

Presentation
Evaluation

When Crossing the Line Is a Good Thing: The Role of Compliance and Collaboration in the Three Lines Model

Destin Harcus, Executive Director, AdventHealth
Dhara Satija, Director, Paul Hastings LLP
Matthew Vogelien, Division Corporate Responsibility Officer, AdventHealth

  • Deepen understanding on the three lines model with focus on role and responsibilities of compliance
  • Discuss leading practices for auditing and monitoring across the three lines model
  • Learn from practical examples with key takeaways and tools

Presentation
Evaluation

Real-Time Transaction Monitoring: Satisfying Regulatory Expectations of Immediate Detection of Wrongdoing

Lucy Wang, Director, Anti-Fraud Initiatives, The Center For Audit Quality
Jenna Voss, Partner, Forensic Risk Alliance
Mihnea Sebastian Rotariu, Risk and Compliance Analytics Director, Lextegrity

  • Learn how to monitor transactional data for risks related to fraud, bribery, and sanctions
  • Learn how to collect key data, process and analyze it, and action the resulting insights
  • Understand how monitoring can help to continuously improve your compliance program

No Presentation Available
Evaluation

Developing an Audit Engagement Scope and Approach: Audit Skills 2.0

James Rose, Managing Director, SunHawk Consulting LLC

  • How to assess the risk of non-compliance
  • Designing the audit approach: controls testing vs. substantive testing
  • Reporting your audit opinion: adequacy of process design AND effectiveness of process implementation

Presentation
Handout 1
Handout 2
Handout 3
Handout 4
Handout 5
Evaluation
Join our Social Network
Copyright © 2024 Society of Corporate Compliance and Ethics (SCCE). All rights reserved. All information provided through this site, including without limitation all information such as the "look and feel" of the site, data files, graphics, text, photographs, drawings, logos, images, sounds, music, video or audio files on this site, is owned and/or licensed by SCCE or its suppliers and is subject to United States and international copyright, trademark and other intellectual property laws. Any third party logos and/or content provided herein is owned by such third parties and is used by permission herein. Your use of this site to is subject to our Terms of Use and Privacy Statement.
Cookie settings