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Handout - 2018 - Regional - Columbus- August 17



A Compelling Case for Diversity in the Compliance Profession

  • Key legislation that has advanced diversity in the workplace
  • A closer look at two companies’ compliance programs that operate through a lens of diversity
  • Ways to take action to advance diversity in your compliance department

Presentation (2 slides/page)
Presentation (3 slides/page)

Sandy Rich, Senior Vice President, Chief Compliance Officer, Nationwide Insurance,

Junna Ro, VP & Assoc. General Counsel, Corp. Compliance & Employment at CSAA Insurance Group, a AAA Insurer

Paul Fiorelli, CCEP, Professor of Legal Studies and Director, Cintas Institute for Business Ethics, Xavier University

Mia Hairston, Chief Diversity & Inclusion Officer, Nationwide Insurance


Handling Sexual and Other Harassment Claims in a Post - #MeToo World

  • Eliminating sexual harassment in the workplace is a challenge every employer must address.
  • You must have the right “tone at the top.”
  • Use a balanced approach toward investigating and judging every sexual harassment complaint.

Presentation (2 slides/page)
Presentation (3 slides/page)

Peter Newman, The Newman Law Group LLC,

Kimberly C. Shumate, Esq., Associate Vice President, Strategic Initiatives, The Ohio State University


Data Analytics: The Future of Compliance

  • Compliance programs in every industry – in order to achieve and demonstrate effectiveness, both to internal stakeholders and external evaluators – must focus on their impact not just their activities.
  • That impact is all about risk management – how are the biggest compliance risks in your organization identified, understand, evaluated and managed – and what tells you how well you are doing?
  • The proactive and expert use of data analytics, whether generated by the business as a matter of course or created by Compliance, is an essential component of Compliance risk management.

Presentation (2 slides/page)
Presentation (3 slides/page)

Jay Cohen, Managing Director, Deloitte

Data Privacy Resilience

Presentation (2 slides/page)
Presentation (3 slides/page)


Mike Varney, Partner, Crowe LLP

Pamela Hrubey, CCEP, Director, Ethics & Compliance, Crowe LLP



Snitches Get Stitches: An Overview of US Whistleblowing Laws

  • Learn about Michael Woodford (Olympus) and Mark Whitacre (ADM) and the fears whistleblowers face
  • Analyze US Whistleblower laws including bounties (Qui Tam) and job protection (Dodd-Frank)
  • Review the impact the unanimous Supreme Court case of Digital Realty Trust v. Somers will have on whistleblowers reporting internally

Presentation (2 slides/page)
Presentation (3 slides/page)

Paul Fiorelli, CCEP, Professor of Legal Studies and Director, Cintas Institute for Business Ethics, Xavier University


Key Features of an Effective Compliance Program

  • Three lines of defense
  • Components of an effective program
  • Best practices

Presentation (2 slides/page)
Presentation (3 slides/page)

Kim Brown, Vice President, Corporate Compliance, Nationwide

Brandy Sullivan, Senior Director Compliance, Comenity LLC, an Alliance Data company

Caroline Roten, Esq., Sr. Manager of Bank Affiliate Management at Alliance Data