2020 Compliance & Ethics Institute (CEI)

51. Leap-Frogging in Latin America: How New Compliance Programs for Latin America can Leapfrog Traditional Approaches to Compliance

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Natasha Trifun, Parth Chanda, Patricia Colombo  | September 15, 2020 

    • Learn from experts with on-the-ground experience building compliance programs in Latin America about how recent enforcement and legal changes in the region provide an opportunity to implement best-in-class compliance programs

    • Learn how leading companies in the region are harmonizing controls and processes across markets in the region and localizing compliance to make it more effective

52. Public Agency Ethics and Compliance Programs: Challenges and Solutions for Government Professionals

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Angelique Dorsey, Jabu Sengova, Jan Yamane  | September 15, 2020 

    • How do you address operational process issues revealed through ethics violations?

    • What do you do if an ethics issue hits the media?

    • How do you give information to legislators on proposed changes to ethics laws?

53. Sexual Harassment and Abuse: From Awakening to Organizational Response - Experience from within the United Nations System

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Katrina Campbell, Cedric Bourgeoiss  | September 15, 2020 

    • The global awakening lead to strengthening the organizational responses, from more robust policies and prevention to investigation of incidents

    • This session will explore through real life examples how organizations can live up to the expectations of stake holders in the post-#MeToo era

    • UNESCO, as part of the United Nations system and the development community is particularly exposed to sexual harassment and abuses in its operations, and therefore developed policies and practices that the #MeToo movement tested and eventually strengthened

54. Speak-Up Success: Training and Communications to Truly Encourage Reporting and Reduce Retaliation

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Amy McDougal, Jason Meyer, Christopher Cook  | September 15, 2020 

    • Multiple major research projects have proven that getting a workforce to report routine issues is the key not only to reducing harassment, but to a more compliant organization overall

    • But how? Training and communication can foster culture and move the needle on reporting (but not if its only that 2-hour mandatory e-learning).

    • Based on research and our collective experience, well share different approaches and language that work, with the rank and file, middle management and C-suite

55. The 7 Habits of an Effective Compliance & Ethics Professional (2020 Compliance & Ethics Institute)

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Daniel Roach  | September 15, 2020 

    • Understanding the compliance and ethics challenge

    • Positioning yourself for success as a compliance and ethics professional

    • Key drivers of effectiveness

56. The Ethical Leadership Model: How to Turn Tone at the Top into a Measurable Program Element

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Brian Beeghly  | September 15, 2020 

    • Many companies today take "Tone at the Top" for granted. So long as the CEO appears on the Code of Conduct and talks about "integrity" at the annual town hall meeting, an ethical culture is assumed to be present

    • In fact, an "ethical culture" takes more than just "Tone at the Top." It takes an understanding of behavioral psychology and the explicit qualities of an "ethical leader."

    • The Ethical Leadership Model provides compliance teams with the framework to hold leaders accountable for an ethical culture. What is an Ethical Leader and how can companies assess a leader's ethical performance?

57. The Ethical, Professional and Personal Challenges of Being Both a Company's Lawyer and its Compliance and Ethics Professional

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Kasey Ingram, Andrew Price, Grace Renbarger  | September 15, 2020 

    • Many company lawyers also serve as the Chief Compliance Officer or Compliance Director. Hear practical guidance and strategies from experienced C&E lawyers who have navigated the dual roles successfully

    • What to do when professional obligations collide and perception problems arise

    • Practical tips on how to respond when your JD didn’t prepare you for this!

58. Warnings, PIPs, and Terminations: Developing a Consistent Approach to Discipline for Compliance Shortcomings

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Todd Braunstein, Ann Sultan  | September 15, 2020 

    • How does a company balance sometimes competing interests of (various) key regulators and the needs of the business in determining appropriate approaches to discipline across the organization?

    • We will walk through examples to discuss how variations in individual jurisdictions in culture and employment law can impact, and complicate, substantive outcomes

    • Discuss common approaches and tips for navigating the most difficult disciplinary situations and developing a robust global discipline program

59. Responsible Use of Emerging Technology

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Srividhya Thiagarajan, Alethea O'Donnell  | September 15, 2020 

    • Customer expectations have shifted with companies growing use of data and technology. Our presentation focuses on how to help business partners with the implementation of emerging technology and digital solutions in an ethical way

    • How to encourage business partners to ensure digital and data strategies work for all consumers. Special consideration given to maintaining a humanistic perspective so that humans and machines collaborate to benefit customers

    • How to develop a Digital and Data Compliance Program, including development of Data Ethics Principles and a Digital Upskilling Curriculum

60. Engaging your Board Relevance in 2021

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Paige Shannon, Adelle Elia  | September 15, 2020 

    • How do you as a Compliance Officer tap into your Board's current priorities to engage them?

    • How do ethics and compliance programs connect to the hot topics for Board members in 2021?

    • Focus Areas: The Board's role in crisis management; stronger demand for oversight of company culture; and the increasing importance of Environmental, Social and Governance (ESG) in M&A and other contexts

61. Anti-Bribery Risk Assessments: Measuring Business Bribery Risk, Updating Procedures and Making Program Modifications

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Alexandra Wrage, daniel Seltzer  | September 15, 2020 

    • How to scope a global risk assessment and identify your most significant risk areas

    • Developing an effective workplan for conducting risk assessments, mapping risks and updating procedures to detect new vulnerabilities

    • Executing on plan to mitigate issues identified via risk assessment and updating procedures

62. Avoid a Compliance Hangover: Maintain Momentum in Your Compliance Program after the Regulators have Left (2020 Compliance & Ethics Institute)

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Gregory Bates, Richard Davies, Harvard Smith  | September 15, 2020 

    • Provide practical tactics to resist calls from management and the Board of Directors to undo compliance enhancements after settlements with regulators and external monitors

    • Address your organizations realities, such as compliance fatigue at a sensitive time, while maintaining an effective program and demonstrating the programs value to stakeholders

    • Learn to identify and protect what’s important, prudently adjust to changing realities, and be a good corporate teammate while shielding your company from recidivism

63. Building Best-in-Class Compliance Programs in Small Organizations

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Tracy Tracy  | September 15, 2020 

    • Small organizations can be viewed as big sources of risk, especially if you are a vendor to large organizations. Let's make sure you have the right pieces in place to ensure you are a credible partner for your clients

    • This session will share helpful strategies for managing big compliance obligations with small teams

    • You CAN manage the audits you have to respond to, as well as the audits you should be performing. Let's talk about ways to tell your highly effective compliance program story through your audit processes

64. June 2020 DOJ Guidance and Cross-Functional Cooperation

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Shon Ramey  | September 15, 2020 

    • Ramey will lead a discussion of compliance officers’ new need for greater visibility into other departments reporting mechanisms, especially legal and audit

    • Start with the end in mind. Have the right cross-functional team evaluate whether a proposed action and initiative is a good idea first. Then confirm that it is both legal and ethical

    • The new and changing skillset needed to work in this cross-functional, collaborative way

65. Challenges of Implementing a Risk-Based Third-Party Due Diligence Program

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Lila Acharya, Sonal Shah, Head of ABC Compliance Operations  | September 15, 2020 

    • Do you know who your third parties are and what they do for you? Many companies struggle with this as they seek to formalize their third-party due diligence procedures. We will discuss strategies for tackling this challenge

    • Technology and Third-Party Due Diligence - friend or foe? The market is now flooded with automated due diligence platforms and screening tools for conducting third party due diligence. How do you determine what is best for your company?

    • What constitutes a "risk-based" approach to Third Party Due Diligence? The DOJ, SFO, and AFA all advise taking one, but devising a strategy can be challenging. We will discuss best practices in developing procedures appropriate for your company

66. Change Management: Transforming a Long-Established Compliance Program

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Christopher Annand, Neha Gupta, Michael Duran  | September 15, 2020 

    • Revisit your compliance risks to refine your training curriculum

    • Enlist change champions to deliver messaging and promote engagement across the firm

    • Deploy a plan to rebrand and relaunch your program to achieve maximum impact (and enjoyment!) with employees

67. Third-Party Risk Management (2020 Compliance & Ethics Institute)

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): John Bruns, Joseph Dorsey  | September 14, 2020 

    • Proven key principles for improving the effectiveness of a third-party risk management program. Discuss principles based on current third-party risk management program and the partnership between business units and the Chief Compliance Office

    • We will address several critical areas such as senior leadership support, proactive risk identification, risk-based program structure, business partnership and ownership, and the use of Key Risk Indicators and technology

    • We'll provide the audience with some practical actions they can take back to their companies to immediately start to elevate their third-party risk management game regardless of the level of maturity of their current program

68. The Compliance Olympics: What were the Gold Medal Performances of the Last 12 Months?

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Jonathan Armstrong, Mary Shirley  | September 14, 2020 

    • 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

69. Calling all Champions! Best Practices for Expanding Your Ethics Programs Footprint by Establishing and Promoting an Ethics Champions Network

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Cristina Potter, Shauna Brookshier, Chelsea Dunkle  | September 14, 2020 

    • 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?

70. Considering Consulting or Starting Your Own Compliance Business? What to do NOW to Prepare for Success

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Joseph Murphy, Kirsten Liston, Kristy Grant-Hart  | September 14, 2020 

    • Ever considered going into consulting or starting your own company? Learn the steps you can take NOW to prepare

    • Use writing, speaking and networking to raise your profile, advance your career, or launch your business

    • Learn how to master the business fundamentals (e.g., sales, finance, company structure) and how to choose the right mentors, partners and champions (because going out on your own doesn't mean "alone")

71. Cultures of Integrity: We Know What They Are and What They Should Look Like, But How Do We Get There?

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Jonathan Turner, Julie Basha  | September 14, 2020 

    • 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!

72. Ethics and Compliance: Same or Different?

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Grace Wu de Plaza, Krista Jones McAninley  | September 14, 2020 

73. The Use of Big Data to Reduce Risk

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Douglas Dunham, Ellen Daly  | September 14, 2020 

    • 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

74. Clear, Concise, and Captivating: Tips on How to Communicate with the C-Suite and Board of Directors

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): August Immel  | September 14, 2020 

    • Briefing the organization's senior leadership is the opportunity you want - all eyes on you to present compliance issues as the expert in the room. Learn how to own that role with excellent oral and written skills. Seize the opportunity; do not fear it.

    • Rhetoric is a mandatory topic in classical education for a reason. By knowing what your audience needs to hear, reading their body language, and focusing your presentation on key elements, your point will not only be made, it will be remembered

    • The key to presenting your material is knowing what must be said, what can be omitted, and how to manage time, especially when speaking with senior leadership. Learn tips on how to craft your presentation in a way that works for everyone

75. New Tone at the Very Top: CECOs on Boards, Why it Matters, How to Get There

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Ellen Hunt, David Greenberg, Ben DiPietro  | September 14, 2020 

    • 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