3rd Chief Compliance Officer Executive Roundtable
Tuesday November 27th, 2018
8:30am – 6:00pm
3rd International Chief Compliance Officer Executive Roundtable
Chief Compliance Officers from a myriad of industries come together for a series of interactive, candid discussions on highly complex issues and the evolving CCO role. Participants benefit from a meaningful, smaller-group opportunity to exchange “war stories” and best practices. This unique boardroom-style forum will provide exclusive networking and benchmarking on pressing global compliance challenges affecting industry.
*Open to Chief Compliance Officers (and to senior-level professionals with the same level and scope of job responsibilities). All interested parties will be pre-qualified before registering for the program.
Office of Foreign Assets Control
U.S. Department of Treasury
Senior Level Data Scientist,
Cyber Readiness Section
Federal Bureau of Investigation
Chief Compliance Officer
Uber Technologies Inc.
Vice President, Chief Ethics & Compliance Officer
Chief Compliance Officer
Danaher Water Quality
Nancy McCready Higgins
Vice President & Chief Ethics and Compliance Officer
Vice President-Global Chief Compliance Officer
Group Chief Compliance Officer
Veon (The Netherlands)
Global Head of Compliance
Chief Compliance Officers Under the Microscope: Perspectives on the Evolving Compliance Function and New Individual Enforcement Risks
- Scope of the CCO’s obligations to investigate potential red flags and monitor suspicious activity
- Recent enforcement actions against individual executives and key takeaways
- Approaches to the CCO role amid developments in the U.S. and globally, and in response to internal corporate and industry pressures
- How economic trends have affected corporate strategy, and where the CCO role fits into a company’s overall plan for growth
Focus on Budget, Resources and Certification
- Structuring/Re-Structuring a Compliance Department: Successful Approaches to Reporting, Outsourcing, Staffing and Resource Allocation
- ROI Case Study-Quantifying the Compliance Effort: How Investing in a Global Compliance Program Sparked Tangible Cost-Savings for a Company
- The Verdict on Becoming ISO 37001 Certified-Should You or Shouldn’t You Make the Investment?
The New Role of Compliance in Managing Cybersecurity, Breach Response and The Internet of Things: How CCOs Can Become Integral to Combatting Internal and Third Party Security Risks
- Where should cyber sit in a company?
- Managing new, emerging risks posed by the Internet of Things
- The CCOs role in combatting cyber warfare
- How to protect privileged information, audit and investigation data on your servers along with your outside counsel
- Dovetailing the compliance, legal, IT and business functions to minimize cyber risks
- Assessing third party cybersecurity and the associated risks
- What to do in the event of a suspected breach
- Breach response: How to work across departments to manage the legal, PR and other aspects
What Matters to the Board: How to Craft Your Message and Resonate amid New Corporate Governance Priorities and Pressures
- What the Board is specifically looking for from the Chief Compliance Officer
- Demonstrating your value, including your role as a strategic thinker that can influence the upper echelons of a company
- Best practices for becoming a strategic and valued part of a company
- Trends in Board and Audit Committee priorities, including cybersecurity
Corporate Social Responsibility-Vetting CSR Projects in Underdeveloped Markets: Unique Considerations for Municipal Improvements, Local Vendors and National Employment Requirements
This session will delve into high stakes, pressing issues keeping CCOs up at night. Speakers and participants will share concrete examples of do’s and don’ts for due diligence, monitoring, and how to balance FCPA and local requirements.
DATA PRIVACY CASE STUDY
The Knowns and Unknowns of GDPR Compliance Six Months In: Updating Employee and Third Party Due Diligence and Monitoring
- GDPR and the impact on third party due diligence
- How GDPR dovetails with cybersecurity and fraud prevention
- Interplay of GDPR with foreign labor laws and anti-corruption
- Balancing GDPR and internal controls
- How to know if you are getting compliance right before it’s too late
OFAC KEYNOTE ADDRESS AND Q & A
How to Know if You are “Localizing” Your Risk-Based Program: Key Metrics, Risk and Performance Indicators
Part I: Managing the Costs and Risks Posed by “Regulatory Divergence”
- Addressing inconsistencies in laws and regulations across jurisdictions
- The latest best practices for implementing a risk-based program tailored to a specific country or region
- Key Risk Indicators to incorporate into risk assessments
- Metrics to apply toward evaluating your program
Part II: Successes in Corporate Communications and Employee Training
During this segment, speakers and audience members will benchmark through discussion, along with a review of sample training materials.
As the closing session for the program, CCOs will share their stories of how they worked through “nightmare” scenarios and the inevitable unknowns in compliance.