COMPLIANCE WEEK
MAY 18-20 2015
MAYFLOWER HOTEL
WASHINGTON DC
CELEBRATING 10 YEARS
2015
POWERFUL INSIGHTS, PRACTICAL IDEAS, REAL SOLUTIONS
SPONSORED BY
S C H E D U L E - AT- A - G L A N C E
DAY 1 – MONDAY, MAY 18
7:30 AM
Registration and Networking Breakfast
Promenade Foyer
8:30 AM
Opening Remarks
Grand Ballroom
KEYNOTE PANEL
Compliance Amid Complexity: How to Succeed
8:45 AM
Alfred Rosa, Chief Compliance Director and Senior Executive Counsel - General
Electric Co.
Diana Sands, SVP, Office of Internal Governance - The Boeing Co.
Daniel Trujillo, SVP & Chief Ethics & Compliance Officer - Walmart International
9:30 AM
Switch Break
9:45 AM
SESSIONS
9:45 AM
Compliance Officer’s Role in Investigations and Discipline
State
Developing the Right Strategy for GRC Implementation
Promenade Ballroom
Virtual Choices, Real Impact: 4th Generation E&C Education
Chinese
CONVERSATIONS
FCPA Casework Update
Georgia
Regulatory Chat: SEC Audit Task Force
Rhode Island
Global Track: Russia & Central Asia
Pennsylvania
10:45 AM
Networking Break
Promenade Foyer
11:05 AM
SESSIONS
11:05 AM
Compliance Program and Effectiveness Assessment
State
Making 3 Lines of Defense Work as a Compliance Strategy
Promenade Ballroom
Working With the Sales Operation
Chinese
CONVERSATIONS
Difficult Decisions in Investigations and Discipline
Georgia
Global Track: Africa & Middle East
Pennsylvania
Demonstration: E-Learning In Action
Virginia
12:05 PM
Lunch (Assigned Seating)
Grand Ballroom
1:35 PM
Switch Break
1:45 PM
SESSIONS
Assessing Your Risks in Anti-Trust
State
Effective Incident Reporting Systems
Promenade Ballroom
A Tale of Cyber-Security Gone Awry
Chinese
COMPLIANCE WEEK
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Grand Ballroom
C E L E B R AT I N G 1 0 Y E A R S
2015
S C H E D U L E - AT- A - G L A N C E
1:45 PM
CONVERSATIONS
Nuts and Bolts of GRC Implementation
Georgia
Regulatory Chat: Export Controls and Your Compliance Program
Rhode island
Creating Metrics for Your Compliance Program
South Carolina
Second Lines, Third Lines, and Monitoring
Pennsylvania
2:45 PM
Networking Break
Promenade Foyer
3:05 PM
SESSIONS
3:05 PM
4:05 PM
Globalizing Your Code of Conduct
State
Regulatory Change Management That Works
Promenade Ballroom
The New Revenue Standard: Managing the Implications
Chinese
CONVERSATIONS
An In-Depth Look at Anti-Trust
Georgia
Avoiding a Data Breach Meltdown for Consumer-Facing Companies
Rhode Island
Avoiding a Data Breach Meltdown for Business-Facing Companies
Pennsylvania
Demonstration: Demystifying the Reporting Process
Virginia
Switch Break
KEYNOTE
4:15 PM
Leading Organizations to Higher Standards
Grand Ballroom
Donnie Smith, President & CEO - Tyson Foods
5:30 PM
Networking Reception
East Room
COMPLIANCE WEEK
C E L E B R AT I N G 1 0 Y E A R S
2015
7
S C H E D U L E - AT- A - G L A N C E
DAY 2 – TUESDAY, MAY 19
7:30 AM
Networking Breakfast
Promenade Foyer
KEYNOTE
8:30 AM
Justice Department Views on Corporate Accountability
Grand Ballroom
Leslie Caldwell, Assistant Attorney General, Criminal Division - Department of Justice
9:30 AM
Switch Break
9:45 AM
SESSIONS
9:45 AM
Managing FCPA Audits on a Global Scale
State
Stitching the Silos by Breaking Down Operational and Data Barriers
Promenade Ballroom
What We Talk About When We Talk About Practice Alert 11
Chinese
CONVERSATIONS
Sales as E&C Program Partners
Georgia
Global Track: Latin America
Pennsylvania
Managing Third-Party Risk: What You Don’t Know May Hurt You
Rhode Island
Demonstration: Creating an Interactive Code of Conduct
Virginia
10:45 AM
Networking Break
Promenade Foyer
11:05 AM
SESSIONS
11:05 AM
Compliance Trends Report 2015
State
Building Effective Training Programs
Promenade Ballroom
Re-Invigorating SOX Compliance: All About Project Management
Chinese
CONVERSATIONS
Bringing AML Into the Compliance Family
Georgia
Regulatory Chat: Justice Department’s New Approach to Cyber-Security
Rhode Island
Driving Sustainable Change With Your Compliance Program
Pennsylvania
Demonstration: Analytic Alignment—How Better Data Changes the Game
Virginia
12:05 PM
Lunch (Open seating)
Grand Ballroom
1:15 PM
SESSIONS
1:15 PM
Moving From Compliance Programs to Enterprise Risk Management
State
Building the Business Case for Compliance
Promenade Ballroom
From Compliance Training to Compliance Leadership
Chinese
CONVERSATIONS
Anticipating Training Program Pitfalls
Georgia
Stay Ahead of Regulatory Change Using Technology
Rhode Island
Global Track: India
Pennsylvania
Demonstration: Honing the Compliance Risk Assessment
Virginia
COMPLIANCE WEEK
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S C H E D U L E - AT- A - G L A N C E
2:15 PM
Networking Break
2:40 PM
SESSIONS
2:40 PM
3:40 PM
Promenade Foyer
Developing an Integrated Compliance Program
State
Case Study in Case Management: Kaiser Permanente
Promenade Ballroom
Advanced Monitoring and Testing to Drive Compliance and Performance
Chinese
CONVERSATIONS
Overcoming Objections to the Business Case
Georgia
Global Track: China
Pennsylvania
Demonstration: Using Technology to Ensure GRC Effectiveness
Virginia
Networking Break
Promenade Foyer
KEYNOTE
4:00 PM
Human and Corporate Factors That Lead to Fraud
Grand Ballroom
Kelly Richmond Pope, Associate Professor - DePaul University
DAY 3 – WEDNESDAY, MAY 20
7:30 AM
Networking Breakfast
8:30 AM
SESSIONS
8:30 AM
Promenade Foyer
Taking the Driver’s Seat: Becoming the New CCO
State
A New Look at FCPA Enforcement
Promenade Ballroom
CONVERSATION
Georgia
Putting Practice Alert 11 Into Practice With Your Audit Firm
9:30 AM
Switch Break
KEYNOTE PANEL
9:45 AM
Ethics & Compliance Leadership 3.0
Janice Innis-Thompson, SMD and Chief Compliance and Ethics Officer - TIAA-CREF
Ronnie Kann, Managing Director - CEB
Maureen Mohlenkamp, Principal, Enterprise Compliance Services - Deloitte
Grand Ballroom
KEYNOTE PANEL
Is Orange the New Black for CCOs?
10:45 AM
11:40 AM
Stephen Cohen, Associate Director, Division of Enforcement - Securities and Exchange
Commission
Ellen Hunt, Director, Ethics & Compliance - AARP
Patrick Smith, Partner - DLA Piper
Conference Closing
We will see you next year: May 23-25, 2016
Grand Ballroom
Grand Ballroom
COMPLIANCE WEEK
C E L E B R AT I N G 1 0 Y E A R S
2015
9
MONDAY, MAY 18
S E S S I O N D E TA I L S
7:30 AM
8:30 AM
Registration and Networking Breakfast
Opening Remarks
Matt Kelly, Editor and Publisher - Compliance Week
Promenade Foyer
Grand Ballroom
KEYNOTE PANEL
Compliance Amid Complexity: How to Succeed
8:45 AM
Compliance officers today have two primary challenges: how to pull together all the
necessary information to identify a company’s unique risks and how to then lead an often
diverse team to manage those risks as effectively as possible. Compliance Week 2015
begins with a keynote panel of three compliance executives discussing how they translate
corporate strategy into compliance needs—and how on earth they keep their focus with
so much information whizzing around the enterprise.
Speakers:
Alfred Rosa, Chief Compliance Director and Senior Executive Counsel - General
Electric
Diana Sands, SVP, Office of Internal Governance - The Boeing Co.
Daniel Trujillo, SVP, Chief Ethics & Compliance Officer - Walmart International
Moderator: Matt Kelly, Editor & Publisher - Compliance Week
9:30 AM
Switch Break
9:45 AM
SESSIONS
Grand Ballroom
Developing the Right Strategy for GRC Implementation
Oh, joy: the company has decided it needs an enterprise-wide GRC software system.
Now what? This session will explore all the questions and considerations you need to
answer. Remember, you are changing business processes as you automate GRC functions—so what input do you need from business unit leaders? What’s the working relationship between the CCO and the IT department? What’s the strategy to accommodate
future growth? And, yes, war stories will be told.
Speakers:
Tim Hediger, Lead GRC Program Administrator - GM Financial
Cameron Jackson, GRC Manager - Columbia Sportswear Co.
Moderator: Aarti Maharaj, Digital Content Editor - Compliance Week
Promenade
Ballroom
Compliance Officer’s Role in Investigations and Discipline
The compliance officer’s role in the front end of investigations—managing whistleblower
helplines and reviewing allegations of misconduct—is well known. This session will look
more at the second half of the process: determining facts and culpability, working with
other departments to enforce any necessary discipline, and helping to ensure that business operations continue after an incident has been closed. We will include a debate
on the CCO’s proper role in carrying out discipline, a question with no easy answers.
Speakers:
Ricardo Pellafone, Associate General Counsel and Director, Global Investigations Western Digital Corp.
Debra Torres, Chief Ethics & Compliance Officer - PepsiCo
Jim Zappa, EVP and General Counsel - CHS Inc.
Moderator: Todd Neff, Writer - Compliance Week
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State
MONDAY, MAY 18
S E S S I O N D E TA I L S
9:45 AM
Virtual Choices, Real Impact: 4th Generation E&C Education
This session will explore how and why programs today are using gamification and multiple
platforms to get employees to pull E&C messaging instead of pushing it at them, and how next
generation tools will add adaptive learning and just-in-time guidance capabilities to identify
and address the needs and potential of the individual. The result is popular, participatory,
individualized communication with the capacity not just to educate but to enable and inspire.
Speakers:
Wayne Brody, Senior Member, E&C Advisory Practice - LRN
Page Motes, Director, Strategic Programs Office, Global Ethics & Compliance - Dell Corp.
Moderator: Solveig Maria Sonin, Director, Events - Compliance Week
9:45 AM
Chinese
CONVERSATIONS
FCPA Casework Update
Looking to get lost in the fine points of the Foreign Corrupt Practices Act? Then this is the
session for you. Join a small-room discussion with your peers to dissect the latest FCPA
enforcement cases: arguments prosecutors put forth, defenses used, guidance cited, settlements reached, and courtroom battles fought. Hear (and share!) the latest thinking in
compliance circles of where FCPA enforcement is going.
Speaker:
Thomas Fox, Columnist - Compliance Week
Georgia
Regulatory Chat: SEC Audit Task Force
Plain old accounting fraud is still a major source of corporate misconduct, and leading
the charge at the Securities & Exchange Commission to investigate such wrongdoing is
the agency’s Financial Reporting and Audit Task Force. In this workshop, discuss how the
group works, the models used to study corporate financial data, and the types of inaccurate reporting the SEC is trying to uncover.
Speaker:
Margaret McGuire, Vice Chair, Financial Reporting and Audit Task Force - Securities
and Exchange Commission
Rhode Island
Global Track: Russia & Central Asia
One of a series of informal, small-room discussions that focus on ethics and compliance
risks in geographic hotspots around the world. Wondering which regulators matter most
in a specific area? Interested in what laws and regulations are in the works? What training tactics work best for local workforces? Which cultural differences can cause the biggest risks or mis-steps? All those questions and more are prime fodder for this conversation
session focused on Russia and Central Asia.
Speaker:
Paul Zikmund, Director, Global Ethics and Compliance - Bunge Limited
10:45 AM
Networking Break
Pennsylvania
Promenade Foyer
COMPLIANCE WEEK
C E L E B R AT I N G 1 0 Y E A R S
2015
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MONDAY, MAY 18
S E S S I O N D E TA I L S
11:05 AM
SESSIONS
Compliance Program and Effectiveness Assessment
A crucial part of demonstrating a compliance program’s effectiveness is measuring what the
compliance team is doing from an operations perspective. This session will give practical examples of how to measure and document your progress on various compliance goals, both
to prepare for regulators who may ask about effectiveness and to help a compliance leader
better allocate staff, budget, and other resources. This session will also discuss relevant communications on effectiveness to the audit committee and other interested stakeholders.
Speakers:
Chris DePippo, VP, Chief Ethics & Compliance Officer - Computer Sciences Corp.
Zain Raheel, Partner, Fraud Investigation & Dispute Services - EY
Christine Stickler, VP, Chief Compliance Officer - TE Connectivity
Moderator: Todd Neff, Writer - Compliance Week
State
Making 3 Lines of Defense Work as a Compliance Strategy
The three lines of defense—business unit, compliance team, audit function—is all the
rage these days as a means to build compliance throughout the enterprise. How does
this really work in practice? This panel will look at how large, diverse organizations assign responsibilities to each line of defense, and how compliance leadership oversees
all that activity to assure that the company has a single, comprehensive view of its risks
and can develop an integrated management plan.
Speakers:
Tom O’Reilly, Director of Internal Audit - Analog Devices
Jose Tabuena, Chief Compliance Officer - Next Health
Moderator: Aarti Maharaj, Digital Content Editor - Compliance Week
Promenade
Ballroom
Working With the Sales Operation
The sales function at any large company—particularly those working in emerging markets or
using third parties—is a high-risk area. This session will look at the compliance officer’s proper
love and care for the sales function. What are the most pressing risk areas and how should you
approach them? What input should you have in compensation and incentive programs? How
do you assess training needs and deliver curriculum to match? We will discuss all this, and more.
Speakers:
Darrell Coleman, VP, Chief Compliance Officer - DynCorp Int’l
Matt D’Ambrosio, SVP, Chief Compliance and Ethics Officer - Sunovion Pharmaceuticals
Christopher Santomassimo, General Counsel, Secretary & Chief Compliance Officer
(North America) - Agfa Corp.
Moderator: Solveig Maria Sonin, Director, Events - Compliance Week
11:05 AM
Chinese
CONVERSATIONS
Difficult Decisions in Investigations and Discipline
In a small-group setting, continue the morning’s discussion and tackle the difficult questions: What are the challenges with investigations involving high-level employees? How
can you reconcile varying privacy laws while conducting investigations outside the United States? When is it appropriate to publicize disciplinary actions?
Speakers:
Ricardo Pellafone, Associate General Counsel and Director, Global Investigations Western Digital Corp.
Debra Torres, Chief Ethics & Compliance Officer - PepsiCo
Jim Zappa, EVP and General Counsel - CHS Inc.
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Georgia
MONDAY, MAY 18
S E S S I O N D E TA I L S
11:05 AM
Global Track: Africa & Middle East
One of a series of informal, small-room discussions that focus on ethics and compliance
risks in geographic hotspots around the world. Wondering which regulators matter most
in a specific area? Interested in what laws and regulations are in the works? What training tactics work best for local workforces? Which cultural differences can cause the biggest risks or mis-steps? All those questions and more are prime fodder for this conversation
session focused on Africa and the Middle East.
Speaker:
Emma Sharma, Chief Ethics & Compliance Officer - Supreme Group
Pennsylvania
Demonstration: E-Learning In Action
Adult education is becoming increasingly focused on engagement and customization. In
this demonstration session, experience the next generation of E&C training: gamification,
adaptive learning, mobile, blended, and more. Discover new ways to reach your audience that goes way beyond on-line training modules and PowerPoint presentations.
Speaker:
Wayne Brody, Senior Member, E&C Advisory Practice - LRN
12:05 PM
Lunch (Assigned Seating)
1:45 PM
SESSIONS
Virginia
Grand Ballroom
Assessing Your Risks in Anti-Trust
Antitrust compliance is a rapidly rising concern for chief compliance officers, and not just
for one industry behemoth merging with another. How do you digest antitrust regulations
globally, and the conflicting legal concepts behind them? How do you scrutinize your
business model and processes for antitrust risks, and assemble an enterprise-wide sense
of your exposure? This session will explore those questions, and how to apply previous
anti-corruption compliance wisdom to this new field.
Speakers:
Timothy Bridgeford, Senior Corporate Counsel – FCPA, Antitrust, Investigations - Tyco
Steve Liccione, Americas Director of Compliance - Continental AG
Moderator: Aarti Maharaj, Digital Content Editor - Compliance Week
State
Effective Incident Reporting Systems
Incident reporting systems are critical to a robust compliance program. If designed without care, however, they become cumbersome, ineffective, and even expose the business
to new litigation risks. To be useful, reports must be correctly documented, triaged, and
investigated in a timely manner. In this session, explore how to implement a reporting
system that’s both user-friendly and versatile enough to accommodate various types of
reports: hotline calls, emails, even knocks on the manager’s door.
Speakers:
Diane Brown, VP, Regional Solutions Advisors - NAVEX Global
Courtney Wallize, Corporate Director, Ethics & Business Conduct - Northrop Grumman Corp.
Moderator: Solveig Maria Sonin, Director, Events - Compliance Week
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Promenade
Ballroom
MONDAY, MAY 18
S E S S I O N D E TA I L S
1:45 PM
A Tale of Cyber-Security Gone Awry
Are you aware of the unseen repercussions that one data breach can unleash? Attend this
screening of “In a Flash! (A Lesson in Cyber-Security),” a fictional corporate drama that
follows one company as it discovers how a seemingly harmless, unsecured laptop leads
to spiraling stock prices and a federal investigation—with lessons aplenty for compliance
executives, company leadership, and others with a stake in effective information security.
The main screening will include an opportunity for discussion and will be followed by
conversation sessions for more in-depth analysis of the risks and ways to mitigate them.
Speakers:
Jim Halpert, Partner - DLA Piper
Brett Ingerman, Chair, Compliance Practice Group - DLA Piper
Stasia Kelly, Co-Managing Partner (Americas) - DLA Piper
Moderator: Todd Neff, Writer - Compliance Week
1:45 PM
Chinese
CONVERSATIONS
Nuts and Bolts of GRC Implementation
After attending the morning session on GRC implementation, take a deeper dive into
the ins and outs of the process. From creating workflows and assigning tasks and responsibilities to creating key performance indicators and measuring progress, share best
practices and tips for a successful implementation.
Speaker:
Tim Hediger, Lead GRC Program Administrator - GM Financial
Georgia
Regulatory Chat: Export Controls and Your Compliance Program
Wondering whether your plans to sponsor a foreign-born worker here in the United States
might open a compliance trap door? Are you sure you know who that overseas customer
on the other side of the Internet really is? What are the implications of the export control
reform effort on investigations and prosecutions? In this conversation, we will review the
latest trends in enforcement activity for export-control violations and offer advice on building an effective export compliance program.
Speakers:
Thomas Feddo, Deputy Director for Enforcement, Office of Foreign Assets Control Department of the Treasury
David Laufman, Chief, Counterespionage Section, National Security Division Department of Justice
Rhode island
Creating Metrics for Your Compliance Program
This small-room conversation session picks up where the morning’s discussion left off and
delves deeper into the practical aspects of assessing your compliance program. How
often should you conduct assessments and what red flags should you be looking for?
What specific metrics do your audit committee and leadership want to see? Beyond just
measuring effectiveness, how can you use metrics to help prove your program’s value?
Speaker:
Andrew Reisman, Senior Manager, Fraud Investigation & Dispute Services - EY
South Carolina
Second Lines, Third Lines, and Monitoring
Monitoring of third parties is crucial to a successful anti-corruption compliance program.
This conversation session will consider where monitoring should fall in an effective compliance program: with the compliance function? Internal audit? How does that answer
change depending on a company’s risk profile? Using the three lines of defense model as
a vehicle, we will examine this most elusive part of the compliance framework.
Speaker:
Robert Biskup, Director, Forensic & Dispute Services - Deloitte Financial Advisory Services
Pennsylvania
COMPLIANCE WEEK
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2015
21
MONDAY, MAY 18
S E S S I O N D E TA I L S
2:45 PM
Networking Break
3:05 PM
SESSIONS
Promenade Foyer
Globalizing Your Code of Conduct
A thoughtful and well-drafted Code of Conduct is the cornerstone for setting expectations
of employee behavior. It’s also crucial that it’s correctly adapted and effective for the
many countries and cultures where you operate. This session will outline practical steps
for implementing an enterprise-wide code, including how to bring your code to life and
use it to set the proper foundation of your corporate culture. Discussion will also include
ways to implement engaging awareness initiatives.
Speakers:
Dan DeMeritt, Director, Business Conduct - ITT Corp.
Carlos Garcia Jimenez, Compliance Counsel Americas - TE Connectivity
Michelle Nichols, Manager, Program Consultant - The Network
Moderator: Julie Moriarity, General Manager, Training and Communications Strategy The Network
State
Regulatory Change Management That Works
From data privacy to financial reporting, corporations now face regulatory requirements
that change constantly, from many different juristictions and enforcement agencies. This
session will consider not just how to track those changes, but also how to assess their
impact on business processes, internal control, and employee training. What parts of
regulatory change management can you automate? How can you take an impact assessment and put a response plan into motion? Attend and find out.
Speakers:
Marie Blake, EVP, Chief Compliance Officer - BankUnited
David Danjczek, Director of Compliance & Ethics - Crane Co.
Steve McDonald, Head of Market Development, Risk, Americas - Thomson Reuters
Moderator: Aarti Maharaj, Digital Content Editor - Compliance Week
Promenade
Ballroom
The New Revenue Standard: Managing the Implications
One year ago FASB and IASB issued their new standard for revenue recognition—a
single, all-embracing model for all industries and capital markets. Implementing the new
standard presents challenges for many companies, including assessing whether your
systems are ready to capture the data needed to support new accounting and financial
reporting requirements. As implementation deadlines approach, this session will walk
through the key elements of the standard and its potential effects on information systems,
business processes, contractual arrangements, internal controls, and more.
Speakers:
Bavan Holloway, VP, Corporate Audit - The Boeing Co.
Jeff Kammerer, Partner, Risk Assurance Services - PwC
Moderator: Matt Kelly, Editor & Publisher - Compliance Week
3:05 PM
Chinese
CONVERSATIONS
An In-Depth Look at Anti-Trust
Interested in a more extensive look at antitrust issues companies face today as well as
what looms on the horizon? Join this small-group follow-up to the session “Assessing Your
Risks in Anti-Trust” for an in-depth, closed-door conversation. Come prepared to share
your ideas and concerns.
Speakers:
Timothy Bridgeford, Senior Corporate Counsel – FCPA, Antitrust, Investigations - Tyco
Steve Liccione, Americas Director of Compliance - Continental AG
COMPLIANCE WEEK
C E L E B R AT I N G 1 0 Y E A R S
Georgia
2015
23
MONDAY, MAY 18
S E S S I O N D E TA I L S
3:05 PM
Avoiding a Data Breach Meltdown for Consumer-Facing Companies
After the morning’s screening of “In a Flash! (A Lesson in Cyber-Security),” DLA Piper will
host a follow-up discussion for consumer-facing companies about how the chain of events
portrayed in the film can be avoided. Explore what internal and third-party controls should
be in place and how you can train and educate stakeholders on the importance of data
security before disaster strikes.
Speaker:
Jim Halpert, Partner - DLA Piper
Rhode Island
Avoiding a Data Breach Meltdown for Business-Facing Companies
After the morning’s screening of “In a Flash! (A Lesson in Cyber-Security),” DLA Piper will
host a follow-up discussion for business-facing companies about how the chain of events
portrayed in the film can be avoided. Explore what internal and third-party controls should
be in place and how you can train and educate stakeholders on the importance of data
security before disaster strikes.
Speaker:
Brett Ingerman, Chair, Compliance Practice Group - DLA Piper
Pennsylvania
Demonstration: Demystifying the Reporting Process
An employee sees misconduct and wants to report it anonymously. Does he or she know
exactly what to do—and what happens after a report is filed? And can you say the same
for your HR or compliance staff who receive that report? This demonstration session will
walk-through some best practices in incident reporting, especially the role technology
plays in capturing, cataloging, and investigating issues.
Speaker:
Diane Brown, VP, Regional Solutions Advisors - NAVEX Global
4:05 PM
Virginia
Switch Break
KEYNOTE
Leading Organizations to Higher Standards
Donnie Smith, President & CEO - Tyson Foods
Moderator: Matt Kelly, Editor & Publisher - Compliance Week
4:15 PM
Grand Ballroom
Smith
5:30 PM
Networking Reception
COMPLIANCE WEEK
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East Room
TUESDAY, MAY 19
S E S S I O N D E TA I L S
7:30 AM
Networking Breakfast
Promenade Foyer
KEYNOTE
Justice Department Views on Corporate Accountability
8:30 AM
In this keynote presentation, hear from the head of the U.S. Department of Justice’s Criminal Division concerning corporate and individual accountability for financial crimes, corporate compliance programs, and cooperation with government investigations.
Speaker:
Leslie Caldwell, Assistant Attorney General, Criminal Division Department of Justice
Moderator: Matt Kelly, Editor & Publisher - Compliance Week
Grand Ballroom
Caldwell
9:30 AM
Switch Break
9:45 AM
SESSIONS
Stitching the Silos By Breaking Down Operational and Data Barriers
Most companies have pockets of hard-working compliance teams scattered across the
business: environmental, tax, health & safety, and so forth. But how can a compliance
leader bring multiple efforts and mounds of disconnected data together in a coordinated
way? This session will cover the silo inventory you must take to understand what is currently happening in your company and techniques you can use to drive visibility, centralize oversight, and improve compliance reporting.
Speakers:
Mike Lamberth, Managing Vice President for Compliance - Capital One
Patrick Quinlan, CEO - Convercent
Martha Sarra, VP & Chief Ethics and Compliance Officer - The Kroger Co.
Moderator: Aarti Maharaj, Digital Content Editor - Compliance Week
Promenade
Ballroom
What We Talk About When We Talk About Practice Alert 11
Few regulatory pronouncements have electrified overseers of internal control and external
reporting like the PCAOB’s Audit Practice Alert No. 11, which called on external audit
firms to re-examine how they audit internal controls over financial reporting. Since its
publication, adoption of the 2013 COSO framework, and more rigorous inspection of
audit firms, compliance professionals have struggled to clarify how a productive audit
should work. This session will discuss how all sides should digest Practice Alert 11 as we
journey into a new era of ICFR risks and reporting.
Speakers:
Martin Baumann, Chief Auditor and Director of Professional Standards - PCAOB
Kevin Lavin, Professional Practice Fellow - Center for Audit Quality
Moderator: Tammy Whitehouse, Writer - Compliance Week
Chinese
Managing FCPA Audits on a Global Scale
Enforcing anti-corruption policies among employees and third parties is one of the foremost concerns for compliance departments. Discover how to develop a process to assess
and uncover bribery risks—from planning the audit and collecting data from numerous
software systems, to analyzing that information and flagging FCPA concerns that merit
more formal investigation. Bring plenty of questions for this granular look at a crucial
compliance exercise.
Speakers:
Jennifer Ellison, Senior Legal Compliance Manager - Baker Hughes
Marianne Ibrahim, Sr. Counsel, Audits & Investigations - Baker Hughes
Moderator: Matt Kelly, Editor & Publisher - Compliance Week
COMPLIANCE WEEK
C E L E B R AT I N G 1 0 Y E A R S
State
2015
25
TUESDAY, MAY 19
S E S S I O N D E TA I L S
9:45 AM
CONVERSATIONS
Sales as E&C Program Partners
Take a different look at the sales function in your organization—as partners for your program. How can you recruit the salespeople in your company to sell E&C, or at the very
least, buy in? How can you frame the program in a way that they see it as a positive and
not an obstacle? This conversation session is a follow up to Monday’s session “Working
With the Sales Operation.”
Speakers:
Darrell Coleman, VP, Chief Compliance Officer - DynCorp Int’l
Matt D’Ambrosio, SVP, Chief Compliance and Ethics Officer - Sunovion Pharmaceuticals
Christopher Santomassimo, General Counsel, Secretary & Chief Compliance Officer
(North America) - Agfa Corp.
Georgia
Managing Third-Party Risk: What You Don’t Know May Hurt You
To boost productivity and efficiency, companies are increasingly relying on third parties
to carry out vital business functions. However, third parties can expose companies to new
risks and potential compliance failures that can lead to fines, lawsuits, operational bans,
and reputational damage. This conversation will explore and share practical approaches
to third-party risk management, drivers for due diligence, and the use of technologybased solutions to increase efficiency and effectiveness.
Speaker:
Graham Murphy, Principal, Third Party Risk Management Leader - KPMG
Rhode Island
Global Track: Latin America
One of a series of informal, small-room discussions that focus on ethics and compliance
risks in geographic hotspots around the world. Wondering which regulators matter most
in a specific area? Interested in what laws and regulations are in the works? What training tactics work best for local workforces? Which cultural differences can cause the biggest risks or mis-steps? All those questions and more are prime fodder for this conversation
session focused on Latin America.
Speaker:
Gus Hubert, VP, Compliance - Jacobs
Pennsylvania
Demonstration: Creating an Interactive Code of Conduct
The Code of Conduct—you know, that thing employees sign without really reading, and
violate without really understanding. Join this demonstration session to see the next generation of codes: ones that embrace interactive online experiences, mobile devices, cultural
nuances, and risk-specific priorities. See how a more engaging code can work with Millennials and overseas employees and translate to easier training and reporting as well.
Speakers:
Jimmy Lin, VP, Product Management & Corporate Development - The Network
Julie Moriarity, General Manager, Training and Communications Strategy - The Network
Michelle Nichols, Manager, Program Consultant - The Network
10:45 AM
Networking Break
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Virginia
Promenade Foyer
TUESDAY, MAY 19
S E S S I O N D E TA I L S
11:05 AM
SESSIONS
Compliance Trends Report 2015
Join Deloitte and Compliance Week as we present the findings of our annual Compliance Trends report, a survey to benchmark compliance operations at the modern enterprise. Hear about current budget and staffing levels, as well as emerging trends in reporting structures, use of GRC technology, risks confronting the enterprise, and strategies to
address them. Copies of the 2015 report will be available in advance.
Speakers:
Donna Epps, Partner, Deloitte Forensic - Deloitte Financial Advisory Services
Kim Fugiel, VP, Internal Audit & Corporate Compliance Officer - Navistar Int’l
Nicole Sandford, Partner and National Enterprise Compliance Practice Leader - Deloitte & Touche
Moderator: Matt Kelly, Editor & Publisher - Compliance Week
State
Building Effective Training Programs
Successful compliance training programs work on three principles: they clearly connect
regulatory requirements to your training curriculum (and stay current with changing regulations); they deliver compliance training as part of a broader learning program; and
they use a structure where compliance, HR, and workforce development teams all work
together for employee improvement. This session will offer specific examples of how
compliance training can work efficiently and effectively from three companies with very
different training needs.
Speakers:
Suzanne Rich Folsom, General Counsel, Chief Compliance Officer & SVP, Government
Affairs - United States Steel Co.
Katherine Kelton, VP, Compliance - Aramark
Jennifer Tocci, SVP, Senior Compliance Group Manager – Technology, Reporting &
Staff Development - TD Bank
Moderator: Solveig Maria Sonin, Director, Events - Compliance Week
Promenade
Ballroom
Re-Invigorating SOX Compliance: All About Project Management
With the impact of the recent PCAOB reviews, as well as the company’s own significant
growth, RockTenn (a NYSE paper manufacturing company, with annual revenues of $9.8
billion) embarked on a new approach to its annual Sarbanes-Oxley program. Hear from
top financial reporting executives on how they worked with the company’s various division financial teams, internal audit, and the external auditors, using project-management
skills and tools, to create a new SOX-compliance program.
Speakers:
Stephen Meadows, Chief Accounting Officer - RockTenn
Mary Spencer, Director of Financial Compliance - RockTenn
Moderator: Todd Neff, Writer - Compliance Week
11:05 AM
Chinese
CONVERSATIONS
Bringing AML Into the Compliance Family
Anti-money laundering risk has soared in recent years as governments around the world
step up their scrutiny of cross-border cash flows. More companies in more industries now
face AML reporting obligations, and money laundering itself is happening in more ways.
This workshop will explore how a CCO can bring AML compliance into the family of
enterprise risk, building on existing compliance operations and experience for speed,
simplicity, and reinvention of the wheel as little as possible.
Speaker:
Phyllis Skene-Stimac, EVP, Chief Compliance Officer - MoneyGram
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Georgia
TUESDAY, MAY 19
S E S S I O N D E TA I L S
11:05 AM
Regulatory Chat - Justice Department’s New Approach to Cyber-Security
This spring the Justice Department announced a new, reinvigorated push to crack down
on cyber threats. Join this conversation to discuss new enforcement priorities, plus how
companies can work with the enforcement community to avoid falling victim to data
thieves and hackers, including those supported by foreign governments.
Speaker:
Jay Prabhu, Chief, Cybercrime Unit - Assistant U.S. Attorney for the Eastern District of
Virginia
Rhode Island
Driving Sustainable Change With Your Compliance Program
This conversation will explore lessons learned regarding making compliance change
stick in your organization. Participants will engage in a dialogue regarding what implementation really means, how best to develop objective evidence of compliance program
performance, and how to align the targeted maturity level of your compliance program
against your organization’s risk appetite.
Speaker:
Craig Carter, Principal - KPMG
Pennsylvania
Demonstration: Analytic Alignment—How Better Data Changes the Game
There is more impetus than ever before for compliance executives to align their efforts
with strategic business objectives. In this demonstration workshop, we will show how
modern software can integrate core functions into a single system that reduces enterprise
risk while increasing flexibility, efficiency, and performance. We’ll also show how capturing and analyzing structured, centralized program data can help you maximize your
efforts and affect real change in your organization.
Speaker:
Philip Winterburn, Chief Product Officer - Convercent
12:05 PM
Lunch (Open seating)
1:15 PM
SESSIONS
Virginia
Grand Ballroom
Moving From Compliance Programs to Enterprise Risk Management
The annual compliance risk assessment—and modifying your program to address weaknesses you find —is a good foundation for any company, but what then? How can you
build a stronger program of continuous enterprise risk management, with risk-management practices embedded into business units? This session will discuss how you can move
forward from compliance assessments to ERM, in ways flexible enough to move with
corporate strategy and measurable enough to let you see, and demonstrate, progress.
Speakers:
Luke Brussel, Anti-Corruption Compliance Leader - GE Capital
Jim Savina, SVP, Deputy GC, and Chief Compliance Officer - Kraft Foods Group
Moderator: Todd Neff, Writer - Compliance Week
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TUESDAY, MAY 19
S E S S I O N D E TA I L S
1:15 PM
Building the Business Case for Compliance
Compliance programs rarely see spontaneous outbursts of support, financial or otherwise, from senior leadership. Too often, even today, compliance officers must still build a
compelling business case for why the company should invest in a program. This session
will consider how a CCO can do that in many ways: by demonstrating ROI, compiling
benchmarking data from peers’ compliance programs, and showing how compliance
can improve business operations.
Speakers:
Carole Bovard, First Vice President, Compliance - Options Clearing Corp.
Ann Drew, Legal Director, Corporate Compliance - WEX Inc.
Brian Michael, Group Chief Compliance Officer, Fox Networks Group and Deputy
General Counsel - 21st Century Fox
Moderator: Aarti Maharaj, Digital Content Editor - Compliance Week
Promenade
Ballroom
From Compliance Training to Compliance Leadership
Compliance training works well but clearly only goes so far, given the persistent problem of corporate misconduct. How do you move beyond the online webinars and skits
at sales conferences to embed awareness and respect for ethics and compliance into
employees’ day-to-day work? This session will look at compliance training as a subset of
professional and leadership development. What messages do you deliver? What are the
metrics you use? We will address all this and more.
Speakers:
Bruce Anderson, Chief Ethics Officer, Corporate Compliance and Ethics - Health Net Inc.
Paula Davis, Director, Compliance Program Operations - SAI Global
Amyn Thawer, Head of Global Compliance - LinkedIn Corp.
Moderator: Solveig Maria Sonin, Director, Events - Compliance Week
1:15 PM
Chinese
CONVERSATIONS
Anticipating Training Program Pitfalls
So you created a great training program that is comprehensive and tailored to employee
risk profiles and positions. But what are the pain points you may have overlooked? Join
a small group of your peers to share insights on managing a complex training program
and avoiding common missteps.
Speakers:
Suzanne Rich Folsom, General Counsel, Chief Compliance Officer & SVP, Government
Affairs - United States Steel Co.
Katherine Kelton, VP, Compliance - Aramark
Jennifer Tocci, SVP, Senior Compliance Group Manager, Technology, Reporting & Staff
Development - TD Bank
Georgia
Stay Ahead of Regulatory Change Using Technology
As a follow-up to Monday’s session on regulatory change management, take a deeper
dive into ways technology can help you stay abreast of new and updated regulations—
including those specific to your industry. Discuss the challenges of cutting through the
noise and creating processes to ensure compliance.
Speaker:
Steve McDonald, Head of Market Development, Risk, Americas - Thomson Reuters
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2015
Rhode Island
TUESDAY, MAY 19
S E S S I O N D E TA I L S
1:15 PM
Global Track: India
One of a series of informal, small-room discussions that focus on ethics and compliance
risks in geographic hotspots around the world. Wondering which regulators matter most
in a specific area? Interested in what laws and regulations are in the works? What training tactics work best for local workforces? Which cultural differences can cause the biggest risks or mis-steps? All those questions and more are prime fodder for this conversation
session focused on India.
Speaker:
Lisa Kuca, Director, Global Product Compliance - Lumber Liquidators
Pennsylvania
Demonstration: Honing the Compliance Risk Assessment
While a comprehensive and repeatable compliance risk assessment is the foundation to
a strong compliance program, many companies still struggle to implement one well. A
number of best practices and tools have emerged that can help address this challenge.
In this session, we will highlight processes and tools that have worked well for many
companies, and facilitate a sharing of lessons learned from the participants.
Speakers:
Nolan Haskovec, Senior Manager - Deloitte & Touche
Kevin Lane, Principal - Deloitte & Touche
2:15 PM
Networking Break
2:40 PM
SESSIONS
Virginia
Promenade Foyer
Developing an Integrated Compliance Program
The increased risk exposure in today’s global business climate demands that compliance
be part of an integrated framework. This session will discuss how you can establish a
corporate compliance framework to facilitate the transition from disaggregated, decentralized compliance activities to an integrated approach that will allow for more streamlined compliance monitoring, testing, and reporting. It will also consider the challenges
of maintaining such a framework across multiple business units with varying risk profiles.
Speakers:
Deon Minnaar, Americas Leader, ERM and GRC - KPMG
Steve Naughton, Chief Compliance and Ethics Officer - Kimberly-Clark
Bruce Strothers, Managing Counsel - The Coca-Cola Co.
Moderator: Amy Matsuo, Principal - KPMG Risk
State
Case-Study in Case Management: Kaiser Permanente
A systematic approach to managing issues at large organizations serves two purposes: It
demonstrates competence to regulators, auditors, and business partners, and it provides
valuable insights to help chief compliance officers improve their programs. This case
study will walk through Kaiser Permanente’s approach to case management, from in-take
of calls to the hotline to investigations to case disposition and documentation.
Speaker:
Marita Janiga, Executive Director, Investigations - Kaiser Permanente
Moderator: Aarti Maharaj, Digital Content Editor - Compliance Week
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TUESDAY, MAY 19
S E S S I O N D E TA I L S
2:40 PM
Advanced Monitoring and Testing to Drive Compliance and Performance
Diligent, recurring monitoring and testing is the backbone of an effective compliance and
controls program. This session will explore how to use the latest tools to drive value from
your investments. Do you use data analytics to identify risks, monitor compliance issues,
and find control failures? Are you integrating relevant data from various parts of your
business to identify potential hot spots and emerging issues? Are the right processes and
technology in place to support continuous feedback for needed enhancements?
Speakers:
Ben Bard, VP, Global Chief Compliance Officer - Archer Daniels Midland
Elizabeth McNichol, SAP Risk, Compliance & Analytics Director - PwC
Jerry Stone, Partner, Risk Assurance - PwC
Moderator: Todd Neff, Writer - Compliance Week
2:40 PM
Chinese
CONVERSATIONS
Overcoming Objections to the Business Case
After vocalizing the business case for your compliance program, what push back and
difficult questions are you likely to encounter? And what are real-world examples of
overcoming these obstacles? Share your experiences and war stories in this small group
follow-up to “Creating the Business Case” session.
Speakers:
Carole Bovard, First Vice President, Compliance - Options Clearing Corp.
Ann Drew, Legal Director, Corporate Compliance - WEX Inc.
Brian Michael, Group Chief Compliance Officer, Fox Networks Group and Deputy
General Counsel - 21st Century Fox
Georgia
Global Track: China
One of a series of informal, small-room discussions that focus on ethics and compliance
risks in geographic hotspots around the world. Wondering which regulators matter most
in a specific area? Interested in what laws and regulations are in the works? What training tactics work best for local workforces? Which cultural differences can cause the biggest risks or mis-steps? All those questions and more are prime fodder for this conversation
session focused on China.
Speaker:
Dan Ross, SVP and Deputy General Counsel - Coach Inc.
Pennsylvania
Demonstration: Using Technology to Ensure GRC Effectiveness
This session will offer an understanding of the various elements of GRC technology. This
GRC Technology for Dummies approach is designed to break down key technology
functionality to look for while building an effective GRC program. Whether you are a
novice or seasoned user of GRC technology, join us to learn how you can leverage
today’s technology , and also gain insight into emerging technologies being utilized to
hold everyone accountable for their part of the GRC process.
Speakers:
Colin Campbell, SVP, Market Development - SAI Global
Paula Davis, Director, Compliance Program Operations - SAI Global
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TUESDAY, MAY 19
S E S S I O N D E TA I L S
3:40 PM
Networking Break
Promenade Foyer
KEYNOTE
Human and Corporate Factors That Lead to Fraud
4:00 PM
Every compliance professional knows the three legs of the fraud triangle: opportunity, rationalization, and pressure. In reality, many more subtle factors induce people to commit
misconduct—including flaws in the structure of a corporation itself—that that don’t make it
easy to identify risk areas or individuals. This keynote session will explore how companies
can sometimes be their own worst enemy in building anti-fraud programs, and how to
create smarter processes that account for natural human behavior and ethics.
Speaker:
Kelly Richmond Pope, Associate Professor - DePaul University
Moderator: Matt Kelly, Editor & Publisher - Compliance Week
Grand Ballroom
Pope
Audit Committee Report, now available
Provide your audit committee with:
COMPLIANCE WEEK
Data Research Division, powered by

Audit Fee benchmarking

Auditor market share, tenure, and
rotation analysis


Auditor ratification benchmarking

Restatement and non-recurring
adjustments analysis

Internal control (SOX 404) analysis


Disclosure controls (SOX 302) analysis
PCAOB inspection reports benchmarking
SEC comment letters analysis
For more information, please contact Elizabeth Sucher
2015
COMPLIANCE WEEK617-570-8605
elizabeth.sucher@complianceweek.com
C E L E B R AT I N G 1 0 Y E A R S
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WEDNESDAY, MAY 20
S E S S I O N D E TA I L S
7:30 AM
Networking Breakfast
8:30 AM
SESSIONS
Promenade Foyer
Taking the Driver’s Seat: Becoming the New CCO
Whether you are building a new compliance function or arriving to head up an existing
team, your job is to lead and make an impact. So, how do you decide your priorities?
How do you set the right compliance strategy and put it into practice? How do you
measure your progress over time? This panel will feature several CCOs who have arrived
as the top compliance executives at their companies, talking about what they have done,
how they did it, and how things are going so far.
Speakers:
Karen Griffin, Group Executive and Chief Compliance Officer - MasterCard
Raphael Richmond, Global Director of Compliance - Ford Motor Co.
Jeffrey Wu, Director of Global Internal Control & Audit - Haier Group
Moderator: Matt Kelly, Editor & Publisher - Compliance Week
State
A New Look at FCPA Enforcement
Join representatives from the Justice Department and SEC Enforcement Division as we
take an updated look at FCPA enforcement: lessons learned from recent settlements, of
course, and also other practical advice on self-disclosure, cooperation credit, good-faith
efforts under the U.S. Sentencing Guidelines, and more. An excellent opportunity to ask
questions of the top anti-corruption enforcement agencies in the United States.
Speakers:
Kara Brockmeyer, Chief, FCPA Unit, Division of Enforcement - Securities and Exchange
Commission
Laura Perkins, Assistant Chief, FCPA Unit, Criminal Division - Department of Justice
Moderator: Tom Fox, Columnist - Compliance Week
8:30 AM
Promenade
Ballroom
CONVERSATION
Putting Practice Alert 11 Into Practice With Your Audit Firm
Join a small group of internal practitioners and discuss how you can manage the ICFR
risks of the PCAOB’s Audit Practice Alert No. 11, while working with your external audit
firm and internal audit function to create a seamless, (relatively) pain-free experience.
We’ll also discuss ways to ensure your audit committee is kept in the loop and has the
guidance and knowledge it needs. Bring your challenges and solutions to this closeddoor conversation.
Speaker:
Cameron Jackson, GRC Manager - Columbia Sportswear Co.
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Georgia
WEDNESDAY, MAY 20
S E S S I O N D E TA I L S
9:30 AM
Switch Break
KEYNOTE PANEL
E&C Leadership 3.0
9:45 AM
Ethics and compliance officers need an effective profession every bit as much as an
effective program. So what are the most important skills and competencies for a compliance professional? And how good are we at nurturing them? This session will be part
inspiration and part aspiration, as we examine cutting-edge research and share thoughts
on the future of the profession.
Speakers:
Janice Innis-Thompson, SMD, Chief Compliance & Ethics Officer - TIAA-CREF
Ronnie Kann, Managing Director - CEB
Maureen Mohlenkamp, Principal, Enterprise Compliance Services - Deloitte
Moderator: Matt Kelly, Editor & Publisher - Compliance Week
Grand Ballroom
KEYNOTE PANEL
Is Orange the New Black for CCOs?
10:45 AM
11:40 AM
A compliance failure in your organization can feel like a personal and professional
failure. But can it also end up in jail time and financial ruin? Compliance Week 2015
closes with an examination of compliance officers’ liability, including case precedents
and what you should be doing to protect yourself. Beyond legal liability, how can you
protect yourself from reputational harm? We will also look at the effect this trend may
have on the profession itself.
Speakers:
Stephen Cohen, Associate Director, Division of Enforcement - Securities and Exchange
Commission
Ellen Hunt, Director, Ethics & Compliance - AARP
Patrick Smith, Co-Chair, White Collar, Corporate Crime and Investigations Practice DLA Piper
Moderator: Matt Kelly, Editor & Publisher - Compliance Week
Conference Closing
We will see you next year: May 23-25, 2016
Grand Ballroom
Grand Ballroom
COMPLIANCE WEEK
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