21st Annual Compliance & Ethics Institute

26. A Golden Gate to Bridging Compliance Risks

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Understand the relationship between compliance risk management and enterprise risk management

    • Bridge compliance risk management across regulatory areas, such as privacy, antitrust, and trade

    • Understand meaningful compliance risk and effectiveness reporting to senior management and the board

27. Managing Employee Complaints and Avoiding Retaliation as a Compliance Officer

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Identify protected employee complaints and recognize anti-retaliation obligations

    • Address employee complaints and discuss steps to avoid retaliation

    • Implement strategies to manage retaliation allegations while minimizing risk to the organization

28. Get Noticed! Action Steps for E&C/Risk Professionals

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Advance your career in a virtual/hybrid workforce

    • Engage with your stakeholders and audience without traveling

    • Prepare your career statement and goals for new opportunities

29. Apples & Oranges? A Comparative Analysis of Internal Investigations and Ethics Consultations

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Explore the crossover between ethics consultations and internal investigations

    • Compare and contrast policies and practice standards, asking questions, structure, and promotion

    • Examine differences in listening techniques during investigative interviews and ethics consultations

30. Becoming Fearless: A Global Team's Approach to Rebranding Ethics & Compliance Using People-First Communications

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Build from the inside out: rethink the org chart and embrace imperfection

    • Learn how to create entertaining virtual outreach experiences that land with audiences across the globe

    • Keep your global outreach sustainable and relevant with templates, tools, tracking and team norms

31. Maturing Your Program: The Role of External and Internal Assessments

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Understand the importance of conducting an external program assessment to mature your program

    • Learn how to leverage assessment findings to make a business case for changes and growth

    • Learn prioritization strategies to implement recommendations for the short and long term

32. A Risk-Based Approach to Compliance Hotline Cases

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Analyzing compliance hotline cases as metrics to formulate a risk-based approach

    • Routine datamining and response monitoring

    • Identifying the trends and outliers to serve the operational and organizational goals

33. ESG is a Mountain of Risk. Compliance Ownership of ESG Just Makes Sense

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • ESG introduces reputational, financial, and other impacts that you are obligated to own

    • Cross-organization context and domain knowledge are essential for driving behaviors using ESG data

    • Leveraging compliance technology and processes to marshal a successful ESG program

34. Emerging Criminal Antitrust Enforcement

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Understand DOJ prioritization of employee wage-fixing and non-solicitation prosecutions

    • Recognize what constitutes an unlawful employee wage-fixing and non-solicitation agreement

    • Tailor employee non-solicitation agreements to comply with FTC and DOJ antitrust guidance

35. How to Use Branding & Storytelling to Create an Engaging and Inclusive Compliance Program

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • How to ensure that your program messaging and policies/procedures are inclusive and not exclusive;
      

    • How to effectively "market" your department both internally and externally; and

    • How to create synergy across the organization so that compliance is seen as a "deposit" not a withdrawal

36. Choosing Wisely: How Behavioral Economics Support Ethical Cultures

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Understand nudge theory, its claims, and criticisms

    • Design your compliance processes to enable ethical decision making

    • Utilize non-traditional data points to measure the effectiveness of compliance controls

37. Board Oversight of Compliance Programs: A Case Study of a Tough Day for the CCO

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Participate in a mock presentation by a chief compliance officer to a very engaged audit committee
      

    • Review legal guidance governing and best practices in board oversight through a mock presentation

    • Role play as a board member and learn about this aspect of a C&E program through asking tough questions

38. Implementing Ethical and Effective Culture Change: Case Studies on Sustainable Culture Change

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Understand the disciplines through which an effective ethical culture permeates an organization

    • Address common barriers to maintaining sustainable cultural change and techniques to overcome them

    • Learn how to guide the board on culture transformation and implementation

39. Conducting Joint Investigations With External Business Partners

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Obtain alignment to segregate common and unique requirements and establish investigative plan

    • Collaborate scheduled cadence, allocation of resources, and cooperative interviewing

    • Coordinate consistent message on the investigation result and ensure external reporting is executed

40. End of Year Report - Who's on the Naughty Step and Who's Living Their Best Life in International Compliance?

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Get a comprehensive look at the main issues affecting compliance globally with a focus on analyzing best practice examples and highlighting Compliance fails across various risk categories.

    • Learn the latest developments around the globe including events highlighting culture and compliance, cybersecurity in times of war, corruption, GDPR and data privacy and workforce compliance issues.

    • Understand common threads running across borders that will help you manage your global operations effectively - and keep you off the naughty step.

41. An ESG Compliance Checkup: Critical Drivers and Essential Components

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Identify the key drivers of ESG compliance for your organization including mission critical rules

    • Understand and implement the actions and controls to manage these drivers

    • Answer the critical questions - what are the rules; what does it take to comply; how are we doing?

42. Current Developments in Compliance Programs Ethics Considerations for Compliance Officers and Attorneys

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Develop an understanding of the key ethical considerations that impact compliance programs

    • Evaluate risk of personal liability of compliance officers in light of recent developments

    • New areas, including technological, that can pose ethical risks for compliance officers

43. The Compliance Manager: A Change Manager

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Understand: how your own profile and approach as a compliance manager will fit future requirements

    • Reflect: how the profile of a compliance manager will change in the coming years

    • Deliberate: how your own approach as a compliance manager might need to change to be more successful

44. How Root Cause Analysis Can Turn Compliance Weak Spots Into Compliance Wins

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • How root cause analysis fits into an investigation and what the government expects

    • Tools to use, questions to ask, data to review and who to engage to find underlying weak spots

    • How to use root cause analysis to improve compliance efficacy and culture

45. Building Trust: NSA's Commitment to Compliance and Oversight

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Lessons learned in designing an agile compliance program to detect and verify that NSA's mission activities are legally conducted

    • Innovation in training, monitoring, verification, and incident management to support the NSA Comprehensive Mission Compliance Program

    • Assuring the NSA workforce protects privacy and civil liberties while conducting its foreign intelligence and cybersecurity missions

46. Pre-, Post-, and Everything In Between: Due Diligence in Multi-National Transactions

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Catalog tools to identify and mitigate Merger and Acquisition, Nth Party, and Emerging Market risks in international business endeavors

    • Understand recent Anti-Bribery / Anti-Corruption enforcement activities to benchmark your internal methods

    • Apply best practices relating to risks with emerging markets, focusing on legislation to consider, enforcement trends, local culture, and due diligence

47. Conducting Ethical Compliance Investigations

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Understand how investigations are part of your internal justice system

    • Learn the investigator's heightened duties in addition to those of other compliance officers

    • Develop quality standards and code of conduct to ensure process fairness and program support

48. Sanctions as the 'New FCPA': Today's Regulatory Expectations, Lessons Learned from Russia, and Preparing for the Next Crisis

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • The DOJ's emphasis on sanctions and its expectations for trade compliance programs, and the intersection with UK/EU sanctions and expectations

    • Lessons learned by companies having to unwind operations in Russia

    • Establishing risk-based measures to be better prepared for the next crisis

49. Goodbye Zero Tolerance, Hello to What?

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Identify the reality and risks behind the zero tolerance policies and mandatory investigation

    • Address allegations of misconduct in a nuanced manner without conveying a message of impunity

    • Explore cases illustrating a resolution somewhere between "zero tolerance" and "get out of jail free"

50. The Converging Risks of Crypto, Fintech's, Cyber and ESG Compliance

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Learn how crypto, digital, NFTs and fintechs are blurring risk between financial/nonfinancial firms.
      

    • Understand how COVID fueled new risks focused on crypto, cyber, fintechs, and ESG compliance

    • Develop strong compliance and Governance (G) to meet long-term Environment (E) and Society (S) needs