17th Annual Compliance and Ethics Institute 2018

#P06

P06 - Launching Ladies into Senior Leadership Kristy Grant-Hart, Founder & CEO Jenny O'Brien, Chief Compliance Officer, UnitedHealthcare Kirsten Liston, Principal, Rethink Compliance View Description

• Are you ready to launch into the highest levels of leadership? Joining the C-suite? Being on the Board? Then this seminar is for you.
• Learn how to win champions and mentors; use verbal language and body language to up your confidence and likeability quotients; and move up the ladder using accountability and top negotiating skills.
• Master lessons taken from female entrepreneurship. Learn why your network is your net worth (and how to grow it strategically) and how to raise the roof on your profile.

General Compliance 106

#P07

P07 - Building a Culture of Compliance Learning Excellence - 4 Multi-Nationals Share Their Insight Jennifer Gardella, Director, Global Learning, Biogen Mike McCafferty, Manager, Enterprise Compliance Training, ETRADE Financial Nicole Tarasoff, Senior Program Manager, Global Compliance & Integrity, LinkedIn Jackie Arnold, Global Corporate Compliance Program Specialist, Xilinx View Description

• Training leaders from 4 multi-nationals share their insights on delivering compliance training to over 40,000 employees in 70 global markets.
• Part I will help you get your compliance training design right: shorten learning seat tie, use diagnostic assessments and create high impact learning media.
• Part II will show you how to foster the relationships that underpin a successful training program: federal regulators, c-suite leadership, legal counsel and international markets.

General Compliance 107

#P08

P08 - Preventing harassment: can compliance ever succeed? Jason Meyer, President, LeadGood, LLC Amy McDougal, President, CLEAResources, LLC Susan Parkes, Owner, Spark Law LLC View Description

• It's been 20 years since the Supreme Court rulings in Faragher and Ellerth made corporate anti-harassment efforts routine, yet there are more headlines than ever about blatant acts of harassment, especially among corporate and cultural leaders.
• Sharing research and our collective experience, this workshop will focus on training, policies and culturebuilding, to explore why we have failed in preventing harassment, where we have engaged, and how we can elevate behavior.
• One critical focus: retaliation vs. a "speak-up" culture, including best practices for creating, maintaining, and getting management support for an Open Work Environment.

General Compliance 108

#P16

P16 - New Beginnings: Starting your Compliance Program and what needs to be included Sheryl Vacca, SVP/Chief Risk Officer, Providence St. Joseph Health Debbie Troklus, President, Troklus Compliance Consulting View Description

• Discussion on the basic elements of a compliance program.
• Overview of the challenges and opportunities in developing a compliance program.
• Identifying ways to get "buy in" for the compliance efforts.

General Compliance 207

#P17

P17 - The Great Internal Audit & Compliance Mystery Kelly Loya, CPhT, CRMA- Associate Partner, Pinnacle Enterprise Risk Consulting Services Kristen Taylor, Associate Partner, Pinnacle Enterprise Risk Consulting Services View Description

• Guests will observe and identify, or even become party to, the ultimate compliance mystery/conspiracy.
• Attendees ("The cast" of characters) will assist in identifying acts of noncompliance and network with the cast and other guests to determine what wrongdoing occurred, why and define an appropriate response to the wrongdoing.
• Attendees will utilize strategies to help define compliance program weaknesses and what safeguards may have prevented an identified behavior

General Compliance 208

#107

107 - Compliance & Ethics Training: What You Need to Know Kirsten Liston, Principal, Rethink Compliance Maranatha Hayes, Senior Manager, Defense, Space, & Security, Boeing Shauna Brookshier, Ethics & Compliance Association, SAIC View Description

• Everyone knows they need to provide training in an effective compliance and ethics program, but do they know how much they don’t know about the subject?
• How can you approach training and communication and be sure you have done all the things that should be done?
• What are the best resources for compliance training and communications?

General Compliance 307

#108

108 - Compliance Fast and Slow-Lessons from Behavioral Economics James Sheehan, Chief, Charities Bureau, NY Attorney General James Knapp, Investigations Director, Freddie Mac View Description

• Lessons for compliance from behavioral economicswhat actually changes compliance behavior.
• Examples from the research-what works.
• Examples from real life-uses of behavioral research/ nudge techniques to change behavior.

General Compliance 308

#207

207 - How to Score your Compliance Program using Key Performance Indicators (KPIs), metrics, maturity ratings and other approaches Erica Salmon Byrne, EVP, Ethisphere View Description

• How and why you should rate your compliance program: the importance of measuring the maturity of your compliance program.
• Different approaches to scoring your program - how to use KPIs, metrics and maturity ratings.
• How to present findings to senior leaders; and build an improvement plan to increase program maturity.

General Compliance 357

#208

208 - MGM Resorts International: Journey to the Future of Mobile & Augmented Reality Marsha Ershaghi-Hames, Partner, Tapestry Networks Omar Khoury, SVP, Regulatory Compliance, Everi Holdings Inc. Lisa Caserta, Executive Director - Compliance, MGM Resorts International View Description

• MGM GO! Launching a mobile Micro-learning strategy: integrating linked content & essential resources with on demand, pulse learning.
• Augmented Reality as an engagement strategy; embedding AR and game-based learning across multiBrands with competitive leaderboards.
• MGM APPLAUSE! Why insight & analytics matter, sustaining impact through responsible recognition and rewarding values based behavior.

General Compliance 358

#307

307 - Privacy Trends Around the World and the Implications to a Global Organization Michelle Beistle, Chief Ethics, Compliance and Privacy Officer, The Nature Conservancy Charlotte Young, Chief Risk and Compliance Officer, Winrock International Alyssa Senzel, Deputy General Counsel & Compliance Officer, Blackboard Inc. View Description

• Across the pond, the new EU GDPR is in effect. Brexit is coming and we all hope the Privacy Shield is still intact.
• Around the world, from data localization laws to breach notification, many countries are enacting new requirements that can impact operations of global companies.
• This session will provide you with practical advice on recent changes or clarifications to laws and regulations and how three global entities are handling those changes.

General Compliance 407

#308

308 - What If Model: Leverage Organizational Resources to Craft Compliance Training (and Certification) Eva Stein, Compliance Officer, Department of Defense View Description

• Compliance resources are everywhere, often overlap, and sometimes provide contradictory guidance. Resources are often scattered throughout the organization and therefore underutilized. The "What If" model can help!
• The "What if" model is presented as a tool to organize resources, craft learning objectives, offer multiple learning pathways, align outcomes, and design assessments. The ACCSC Certified Accreditation Program (CAP) design approach will be shared ... a comprehensive 'quick to market' program for over 650 schools/colleges nationwide.
• If you have the resources and need a way to identify, capture, and leverage them to create a learning environment that supports compliance understanding and application ... versus rote memorization, this session is for you!

General Compliance 408

#407

407 - Decades into Maturing Compliance Programs, Are Anonymous Reporters Treated with the Respect They Deserve? Carrie Penman, Chief Compliance Officer and Senior Vice President, Advisory Services, NAVEX Global Debra Hennelly, Founder & President, Resiliti View Description

• The pros, cons, myths and truths of anonymous reporting have been discussed in the compliance community and among boards and executive teams for decades.
• Yet for all of this talk and work on building effective compliance programs, many employees still feel that anonymous reporting is the safest way to raise issues and many leadership teams still express frustration about accepting these types of reports.
• This session will look at the current global anonymous reporting environment, review the latest data around this reporting, and offer advice to compliance officers and their organizations on making the most of anonymous reports.

General Compliance 457

#408

408 - Effective Use of Forensic Data Analytics to Mitigate Compliance Risks Gerry Zack, CEO, SCCE & HCCA View Description

• How to incorporate forensic techniques into your monitoring and auditing.
• Design of data analytics targeting specific compliance issues.
• What next? Not all red flags are alike - best practices for follow-up.

General Compliance 458

#507

507 - Get What You Need Out of Your Gift, Entertainment, and Travel (GET) Policy and Approval System Adriana Herrera, Sr. Global Compliance Analyst, Phillips 66 View Description

• Developing an Effective GET Policy and Approval System.
• Pros and Cons of a Vended Solution vs. a Custom Platform.
• Lessons Learned. From Customization to Post Rollout.

General Compliance 507

#508

508 - Innovative Strategies for Fostering a Compliance Culture Stephanie Hillhouse, Director, Ethics & Compliance, The Coca-Cola Company View Description

• There's a bot for that: How to use artificial intelligence for communication initiatives and as a resource for employees, including lessons learned from developing the pilot through go-live.
• Highlights from a successful and engaging global launch of a Code of Business Conduct, with key strategies for reaching offline and online employees.
• Helpful tips for incorporating ethics and compliance messages into business communications, including manager messages.

General Compliance 508

#607

607 - What Are the OIGs - and Why You Should Care Daniel Coney, Assistant Special Agent in Charge, DOIOIG View Description

• Understand how the Office of Inspector General system functions, their various authorities, and why they may end up on your doorstep.
• Explore how the missions of the various OIG offices aligns with the compliance profession, and what models may be relevant to your work.
• Learn how to effectively handle OIG audits, subpoenas, and how to put the best foot forward when under Government scrutiny

General Compliance 557

#608

608 - OFAC Sanctions: Navigating the Minefield