SCCE Conference Slides and Recordings

1. AI And automated hiring systems- Compliance and Ethical Issues

   2023 SCCE Webinar  | November 17, 2023 

   • The state of AI in HR -- and the next 18 months
     

   • The 3-pillar framework for safe and ethical rollout of AI

   • Upcoming regulations related to the use of AI in HR

   • What compliance leaders should be doing today to prepare for the new regulatory environment

2. 2024 Enforcement and Liability Update

   2023 HCCA Webinar  | November 14, 2023 

   • Learn from former enforcement attorneys about liability
     

   • Obtain insight to investigations and responses

   • Hear tips regarding compliance mitigation strategies

3. The Uyghur Forced Labor Prevention Act: Update on Enforcement and Compliance Best Practices

   2023 SCCE Webinar  | November 08, 2023 

   • Gain understanding of key elements of UFLPA such as "rebuttable presumption"

   • Learn how Customs and others in US government are enforcing the law

   • Obtain practical guidance on complying with the law

4. Using a Compliance Program Management Office to Enhance Your Program's Momentum and Consistency

   2023 SCCE Webinar  | November 01, 2023 

   • Learn how a compliance PMO can act as a strategic partner implementing your compliance vision, generate program improvements, and operationalize your compliance goals across the business
     

   • Learn how to structure and staff a PMO

   • Learn what not to do when building a PMO

5. 707 Social Media: Keeping Up with the Changing Times

   22nd Annual Compliance & Ethics Institute  | October 31, 2023 

   • Where are your risks? What should keep you up at night? Let's talk about where the risks are hiding

   • Learn best practices and strategies for social media policies and using social in hiring and firing

   • Planning for and living through a social media crisis - tips and tricks to survive and thrive

6. 206 Building and Sustaining a Culture of Integrity in an Everchanging Work Environment

   22nd Annual Compliance & Ethics Institute  | October 30, 2023 

   • Utilize creative material, methods, and collaboration tools to effectively engage with employees in all work environments

   • Share how leadership can set the tone for ethical behavior and demonstrate commitment to company values and integrity through leader-led messaging and training

   • Demonstrate how employee survey data and ethics metrics are used to evaluate and address the ethical climate of the organization

7. The Risk May Be Real: A Refresh on DOJ's Corporate Compliance Polices and Their Application to Institutions of Higher Education

   2023 SCCE Virtual Higher Education Compliance Conference  | October 25, 2023 

   • Summarize DOJ's guidance on corporate compliance programs and enforcement actions

   • Discuss best practices and how compliance programs are evolving in light of DOJ's guidance

   • Review how institutions of higher education should be thinking about DOJ's guidance

8. Mitigating Tomorrow's Risks: A Transformational ERM Journey

   2023 SCCE Virtual Higher Education Compliance Conference  | October 25, 2023 

   • Evolving the ERM process from a 1 to a 2-year cycle

   • Building effective ERM tracking tools

   • Clearly defined qualitative data resulting in informed decisions

9. Privacy Law: Year in Review

   2023 SCCE Virtual Higher Education Compliance Conference  | October 25, 2023 

   • Understand changes to privacy law at all levels including state, federal, and international

   • Prepare for the emerging role of Artificial Intelligence (AI) and biometric data on campus

   • Look beyond a CISO: Is it time to establish a privacy program on your campus?

10. Best Practices for Compliance Program Review: Practical Approaches and Tools

    2023 SCCE Virtual Higher Education Compliance Conference  | October 25, 2023 

    • Deploy a common program framework for assessing compliance programs

    • Leverage program definitions and an assessment methodology to demonstrate program development and identify opportunities for enhancement (including needed resources)

    • Scale this approach for programs at all levels, from single area (e.g., HIPAA) to office (e.g., Office of Research) to university, to improve alignment among compliance functions

11. Creating a Youth Protection Compliance Program: 7 Essential Ingredients Required for Success

    2023 SCCE Virtual Higher Education Compliance Conference  | October 25, 2023 

    • Explain the need for youth protection compliance programs in the Higher Education environment

    • Recognize how utilizing the 7 elements that are identified in the US Sentencing Guidelines are essential to an effective youth protection compliance program

    • Identify the specific components within each of the 7 elements

12. Insights on How to Operationalize Your Key Compliance Program Elements

    2023 SCCE Virtual Higher Education Compliance Conference  | October 25, 2023 

    • A seasoned compliance officer will share lessons learned and best practices for implementing compliance program structures at your campus

    • Insights will include topics like policy development and management, hotline management and reporting, training program delivery, board oversight focus, and more

    • This session will focus on practical approaches for strengthening your compliance program and its core foundational compliance structures

13. Developing an Audit Engagement Scope and Approach - Transaction and Control Testing

    2023 HCCA Webinar  | October 19, 2023 

    • Assessing 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

14. 2023 Navigating CCO Liability risks: Tips for staying out of the SEC's Crosshairs

    2023 SCCE Webinar  | October 12, 2023 

    • CCO liability can be a complex yet nebulous concept to navigate. Therefore, it's important to understand how CCO liability is being defined by regulating bodies.
      

    • Mitigating the risks of CCO liability hinges on understanding the types of cases out there that triggered regulatory enforcement actions. Therefore, certain top matters elucidating the potential dangers of CCO liability are highlighted.

    • Understanding CCO liabilities, the regulatory landscape and examples of "bad behavior" are important steps in protecting CCOs against potential risks, especially with so much on the line for CCOs.

    • CCOs can be held personally liable for any compliance failure, which can lead to significant legal and financial consequences and overall reputational harm for both the firm and the CCO.

15. EB3 Ten Things I Wish I Knew Before I Became an Investigator

    22nd Annual Compliance & Ethics Institute  | October 05, 2023 

    • You're not alone: how to rely on your internal stakeholders to fill in the gaps

    • Standardizing is key: how to develop standard templates and processes to drive consistency and alignment

    • Prepare for the unexpected: how to handle curveballs and a lack of information during the investigation process

16. EB4 Making Compliance Training Great: From Two Minutes to Two Hours

    22nd Annual Compliance & Ethics Institute  | October 05, 2023 

    • Learn content marketing strategies to help you grab attention - fast

    • See four techniques based on learning effectiveness research that you can put to work today

    • Get strategies to measure how well your training worked

17. W2 Risk Awareness and Communication: Don't Go It Alone

    22nd Annual Compliance & Ethics Institute  | October 05, 2023 

    • This isn't just the job of Legal and Compliance

    • Create awareness with employees about risk assessment, risk tolerance, and risk threshold

    • This session will focus on topics related to training and even gamification

18. W3 Creating a Compliance App Employees Will Actually Use

    22nd Annual Compliance & Ethics Institute  | October 05, 2023 

    • Learn how a great compliance app can help achieve compliance goals

    • Establish a future-proof application system that can easily integrate and adapt to rapid change

    • Optimize the user experience by drawing people in and keep them coming back

19. W4 The Perfect Trio: Compliance, Legal, and HR Striking the Right Chord on Sensitive Workplace Investigations

    22nd Annual Compliance & Ethics Institute  | October 05, 2023 

    • Develop a framework to guide cross-functional investigations involving HR, Compliance, and Legal

    • Learn to identify when alleged workplace misconduct is a broader compliance concern

    • Discover the shifting landscape of workplace misconduct from litigation risk to compliance risk

20. W5 Three Decades On: Impact of the US Sentencing Guidelines on Compliance and Ethics

    22nd Annual Compliance & Ethics Institute  | October 05, 2023 

    • Understand the evolution of the role of the U.S. Sentencing Guidelines in corporate compliance and enforcement

    • Identify the key findings from the U.S. Sentencing Commission's 30-Year Report

    • Examine trends in organizational sentencing to bolster your corporate compliance program and prepare for the future

21. W6 Post-Ethics Investigations: What's Next? Remediation or Recurrence?

    22nd Annual Compliance & Ethics Institute  | October 05, 2023 

    • Learn what remediation is and how it can drive a downward trend in similar cases

    • Develop a remediation program with a step-by-step approach that becomes embedded in your company DNA

    • Perform case handover to root cause analysis to partnering with the business to drive change

22. W8 Surviving a Privacy Breach on 3 Continents: How We Did It and Lived to Tell the Tale

    22nd Annual Compliance & Ethics Institute  | October 05, 2023 

23. W9 Applications of the Latest Research in the Field of Business Ethics

    22nd Annual Compliance & Ethics Institute  | October 05, 2023 

    • Understand factors at home and work that promulgate unethical and counterproductive behaviors

    • Identify the effects of unethical behavior on the perpetrator, coworkers, and other stakeholders

    • Determine the causal factors for when and why employees do the right thing, such as whistleblowing

24. W10 Demystifying AI: Fundamentals and Considerations for Compliance Programs

    22nd Annual Compliance & Ethics Institute  | October 05, 2023 

    • Practical AI applications within a Compliance program

    • Important considerations and risks in the use of AI

    • Additional resources and references for further education

25. W11 Forget Pitfalls: The Real Investigation Mistakes You Cannot Afford to Make

    22nd Annual Compliance & Ethics Institute  | October 05, 2023 

    • Identify the subtle strategic and tactical errors that undermine your investigations

    • Learn how to think about these less obvious topics so you incorporate them into your case

    • Move away from checklists and obvious pointers to think instead like an investigator