SCCE Conference Slides and Recordings

  1. Interview Strategies for Compliance Investigations - 2022

    2022 SCCE Webinar  | June 21, 2022 

    Learn key strategies and practical tips for conducting effective compliance investigation interviews, including considerations related to: Interview format (in-person vs. remote).

    • Participants.

    • Attorney-client privilege issues.

    • Privacy and confidentiality.

    • Discussion techniques.

    • Documentation practices

  2. Anti-Corruption Law Risk: Is the Playing Field Different Now?

    2022 Virtual Defense & Government Contracting Compliance & Ethics Conference  | June 09, 2022 

    • What the Biden Administration's new efforts mean in practice

    • Learning from recent settlements

    • Understanding the implications of increased multi-lateral prosecutions

  3. Technology: The Good

    2022 Virtual Defense & Government Contracting Compliance & Ethics Conference  | June 09, 2022 

    • Using technology to monitor your program and your suppliers

    • Putting AI to work to help your compliance program

    • Upping your data analytics game

  4. Technology: The Risk, Challenges and Opportunities

    2022 Virtual Defense & Government Contracting Compliance & Ethics Conference  | June 09, 2022 

    • The ethical considerations of AI

    • The exploding risks of cyberattacks

    • Special considerations for government and defense contractors

  5. Managing Your Program and Its Structure in the New Era

    2022 Virtual Defense & Government Contracting Compliance & Ethics Conference  | June 09, 2022 

    • With so many workers operating remotely, now is the time to assess how well you are serving the workforce

    • Leveraging others within your organization: from internal audit to an ambassadors' program

    • Keeping your eye on joint ventures: don't let them escape the reach of your compliance and ethics program

  6. Taking Your Code Digital - A Practical and (Relatively) Pain-free Approach

    2022 SCCE Webinar  | June 08, 2022 

    • Your employees live in the digital world, but many Codes of Conduct are still PDF documents.

    • Going digital can supercharge the user-friendliness and reach of your Code - and offer game changing analytics.

    • See how Marathon Oil created a digital Code of Conduct and app - without getting bogged down in the technology.

  7. Supply Chain Risk: It's Not Just Corruption Anymore

    2022 Virtual Defense & Government Contracting Compliance & Ethics Conference  | June 07, 2022 

    • Learn about the changing risk areas such as human trafficking

    • Explore how deep into the supply chain it is prudent to look: all the way to your supplier's supplier's suppliers?

    • Determine how best to manage ongoing auditing and monitoring

  8. Data, Metrics, Reporting: Powerful Tools for Driving, Improving, Monitoring and Maintaining Program Effectiveness

    2022 SCCE Webinar  | May 26, 2022 

    • Understanding where Compliance Professionals can find data within their programs.

    • Don't sweat the small stuff!

    • Data can be scary, but it doesn't have to be! Let's discuss how we can leverage data to help improve a Compliance Program's overall effectiveness.

    • We have the data but what do we do with it? Let's start simple with data and work our way to more complete reporting and metrics.

  9. What Does the Science of Educational Psychology Teach Us About Compliance Training Best Practices

    2022 Nonprofit Sector Compliance Conference  | May 24, 2022 

    Compliance training and education is one of the well-documented elements of an effective compliance program. Historically, many compliance programs threw words on a slide deck, forced people to read the material and then checked off the box.But why waste such a precious opportunity by providing substandard training? Educational psychologists study the principles of effective training and education. This session will focus on best practices learned from educational psychology. We will cover:

    • Established principles of adult education (Knowles' principles of andragogy)

    • How to design effective compliance training

    • Principles of training evaluation (Kirkpatrick's four levels of evaluation)

  10. People and Compliance: Challenges in Nonprofit Organizations

    2022 Nonprofit Sector Compliance Conference  | May 24, 2022 

    • Explore people related risks in nonprofits.

    • Share best practices.

    • Identify immediate take-a-ways

  11. Embracing Risk Leadership

    2022 Nonprofit Sector Compliance Conference  | May 24, 2022 

    • Distinguish risk leadership from risk management

    • Create a more risk-aware culture

    • Adopt a governance model that emphasizes risk leadership

  12. Hot-Button Federal Tax Issues for Nonprofits

    2022 Nonprofit Sector Compliance Conference  | May 24, 2022 

    • What are the most common and recurring UBIT pitfalls for nonprofits - and what are the best strategies for minimizing UBIT while maximizing revenues?

    • What are best practices and trends in nonprofit executive compensation?

    • Nonprofit and for-profit affiliates and subsidiaries - everything you need to know to protect the separate corporate and tax status of each member of the family

    • Private inurement and private benefit - what's the difference between them, what are the leading pitfalls, and what are practical solutions for mitigating tax risk?

  13. Fraud Risks in Nonprofit Organizations

    2022 Nonprofit Sector Compliance Conference  | May 24, 2022 

    • Identify critical fraud risks within their organizations

    • Assess the compliance risk posed by key fraud risks

    • Develop a response to mitigate fraud risk

  14. Beyond GDPR : Examining New Privacy Laws in the US and Around the World

    2022 Minneapolis Regional Compliance & Ethics Conference  | May 20, 2022 

    • New privacy laws in Brazil, South Africa, and the US are complicating the global privacy landscape

    • While the laws have many similarities, differences abound that will complicate a privacy compliance

    • This session will examine, compare, and contrast the news laws with one another and in light of GDPR

  15. Member Exclusive Compliance Auditing and Monitoring

    2022 SCCE Webinar  | May 20, 2022 

    • What should compliance programs look like (with an emphasis on Auditing and Monitoring)

    • Utilizing the 7 Elements, Three Lines Risk Model, and Operational Departments to improve Compliance Monitoring and Auditing

    • Leveraging auditing, monitoring, and continuous auditing to expand risk identification and mitigation

  16. Cyber Risks - The Good, The Bad and The Ugly

    2022 Minneapolis Regional Compliance & Ethics Conference  | May 20, 2022 

    No, it's not a movie, although a cyber-attack or data breach can feel like a scary movie when it happens. And it's happening a lot more now in a post-pandemic, digital transformation world. According to the World Economic Forum (WEF), ransomware attacks rose 151% in 2021. The business of cyber-crime is booming ($10.5 Trillion by 2025) for cyber criminals So why do you care and how can compliance officers increase their effectiveness in mitigating business and cyber risks. This session will provide answers to these questions and more. Attendees will learn about:

    • Current cyber risks and their implications for compliance officers

    • Emerging risks in digital innovations and why you care

    • Increasing compliance effectiveness and influence in the board room

  17. AI: A Separate and New Risk for the Ethics & Compliance Professional

    2022 Minneapolis Regional Compliance & Ethics Conference  | May 20, 2022 

    • Understanding what AI is and its impact on you and your organizations is becoming increasingly necessary in today's technology-forward world. This session will provide a grounding on those topics.

    • As an ethics and compliance professional, you need to consider the extent of risk your organization faces depending on whether these automated decision-making systems impact sensitive aspects of your customers' lives.

    • Gulzar Babaeva and Colleen Dorsey will walk you through ways you might consider thinking about risk in this newly emerging area and how you might structure frameworks to catch issues early on in the procurement, design, and/or development phases.

  18. Promises and Peril : Investigations Gone Virtual

    2022 Minneapolis Regional Compliance & Ethics Conference  | May 20, 2022 

    • Planning and preparing for your investigation

    • Rapport and assessing credibility

    • Common challenges (and how to overcome them)

  19. The Rising Tide of ESG: How the Growing Urgency in ESG Boosts Ethics and Compliance Goals

    2022 Minneapolis Regional Compliance & Ethics Conference  | May 20, 2022 

    • The vast rise in ESG pressure from investors and other stakeholders in recent years and through the global pandemic

    • What's next in ESG - trends that are moving fast and changing in 2022 and beyond.

    • The symbiotic relationship at play between ESG professionals and ethics/compliance leaders - how to form teams that collaborate and drive towards the same goals in your company.

    • Developing and maintaining a culture of ethics and responsibility in a remote work environment during a period of high turnover and uncertainty.

  20. Detecting and Investigating Fraud

    2022 Minneapolis Regional Compliance & Ethics Conference  | May 20, 2022 

    Many frauds have important implications for organizational compliance. This session will focus on the compliance professional's role in mitigating the compliance risks associated with fraud schemes. After attending this session, participants will be able to:

    • Identify red flags and improve fraud detection controls

    • Consider the element of intent in detecting and investigating fraud

    • Perform root cause analysis of fraud schemes aimed at improving controls

  21. NEXTGEN Compliance: Navigating a Shifting Landscape

    2022 SCCE Webinar  | May 18, 2022 

    • Global compliance success depends on a balance of growth, agility and a continuous learning mindset.

    • Tap into international expert tips on innovation, adaptability and responsiveness.

    • Learn to use your organization's innate resources to successfully future proof your program.

  22. Investigating a Fishy Business

    2022 San Francisco Regional Compliance & Ethics Conference  | May 13, 2022 

    In this session, we will take you on a virtual ride through an entire fraud investigation - from first allegations to report finalization and handover to the FBI. Key takeaways include:

    • Learn to navigate the legal battlefield when investigating an officer/owner of an organization

    • Discover new techniques to leverage cloud-based systems for evidence gathering

    • Leverage technology solutions to import thousands of pages of data for analysis

    • How to connect multiple embezzlement schemes into one cohesive report

    • The advantages and disadvantages of pursuing civil vs. criminal restitution

  23. A Multi-faceted Approach to Diversity, Equity, and Inclusion

    2022 San Francisco Regional Compliance & Ethics Conference  | May 13, 2022 

    • Compliance & DEI: A Changing View

    • Cross-Functional Alignment to Improve DEI

    • Building Belonging

  24. Navigating the Challenges of Incident Response

    2022 San Francisco Regional Compliance & Ethics Conference  | May 13, 2022 

    This presentation will discuss challenges and issues that Legal and Cybersecurity may face while identifying, investigating and reporting an incident. We will cover the basics of incident response, as well as provide advanced-level tips. Some of the questions we will address include:

    • What's a normal workflow for incident response?

    • What is a security incident, and when does it meet the threshold of a data breach?

    • What occurs during a technical investigation? How does that contrast with the legal investigation?

    • When should a company bring in third-party vendors to assist?

    • How do you close out an incident report?

  25. ESG Compliance from All Sides Now

    2022 San Francisco Regional Compliance & Ethics Conference  | May 13, 2022 

    ESG compliance arises from many directions. Some are now widely reported, and others are more under the radar. This session will describe ESG compliance requirements that arise from several channels, including:

    • Capital markets, Government entities, Customer requirements, Other business partners, Voluntary Commitments

    • The session will highlight common challenges in managing ESG compliance that arise from many different directions, including getting accurate and reliable information, managing audits, and the potential for fraud.

    • Compliance professionals will be better prepared to identify, evaluate, build, or monitor ESG compliance provisions that arise in ways obvious and not so obvious.