Chief Compliance Officer Roundtable

Dec 6, 2019 8:30am - 6:00pm


What is it about?

Opening Remarks & Ice Breaker

Geopolitics, Destabilized Markets and Your Risk Calculus: CCOs Share Lessons for Making the Newest, Toughest Compliance Calls

At this opening session, faculty members and participants will discuss the real-world impact of geopolitical changes on contingency planning and compliance decision-making. Discover how CCOs are working through high stakes challenges affecting the conduct of business in volatile markets-and the lesser known rules of the road for making the right calls under pressure. Discussion points will include how to evaluate future, uncertain risks posed by regime changes, and the challenges of interacting with local government officials.

Behavioral Compliance and the Verdict on Incentives: What Works and What Doesn’t? Real Life Takeaways from the Latest Research Findings: What It Really Takes to Drive Ethical Conduct

The U.S. Department of Justice’s “Evaluation of Corporate Compliance Programs” indicates that
an effective compliance program should include incentives. During this session, speakers and
participants will discuss the latest research findings and approaches to implementing this key component of a global program.

The session will also address how to overcome the real-life obstacles to sustaining a strong
compliance culture for the short-and long terms

  • What has proven effective vs. not: Updates on the research findings
  • Defining compliance responsibilities within your organization
  • Developing a sustainable strategy to prevent a repeat scenario
  • How to know if your message is being heard and followed
  • Addressing specific cultural nuances when localizing your training
  • Overcoming training “fatigue”
  • How to strengthen your culture of compliance in the field

Networking Break

Compliance as Your Corporate Brand

“Operationalizing” Your Global Compliance Program: Dovetailing Your Program with the Company’s Overall Business Strategy

Learn about successes and lessons learned for embedding global regulatory requirements into your processes and procedures. Benefit from firsthand insights and concrete examples of pitfalls to avoid at the implementation stage.

5 Things You Don’t Know About Me: CCOs Tell Their Stories on Becoming Effective Leaders and Influential Voices in Their Organizations

Hear first-hand stories from CCOs about their successful climb up the ladder-and the unwritten rules for effective leadership. Themes to be discussed include:

  • Proving your worth: How to showcase your accomplishments and promote yourself
  • How to advocate for yourself and your team: Securing buy-in, confidence and resources from senior management and the Board
  • Getting a seat at the table: How to drive home a message that resonates
  • The biggest mistakes to avoid when building and managing a compliance team: How to know if you are an effective leader or falling short?
  • Fostering successful relationships with the General Counsel, CFO and other corporate leaders

Executive Networking Luncheon

Insider Threats – Detecting a “Bad Apple” in Your Workplace: Key Predictive Indicators and Best
Ways to Leverage the Compliance Function

Current and former law enforcement officials will take you through real-life examples of rooting out unethical and criminal conduct in an organization. In addition to providing practical guidance, the discussion will also address how law enforcement and compliance officials have successfully partnered to address these worst case scenarios.

Economic Sanctions Compliance “Nail-Biters”

Keeping Sanctions Compliance Current in Unpredictable Times: Responding to Rapid Geopolitical and Regulatory Changes Amid Blocking Statute Conflicts

During this practical session, CCOs will walk you through a series of hypothetical scenarios on some of the most complicated, high pressure situations-and how they would address them. Areas of discussion will include:

  • Perspectives on the most vexing challenges in the last 12 months, and how to prepare for more anticipated changes
  • Thinking on your feet: The most important considerations for responding to new, evolving sanctions-and the impact on screening and compliance protocols
  • Quick decision-making on Russia, Iran and more: How CCOs are updating their programs, and making time sensitive calls affecting legal, contractual and business commitments

High Stakes Compliance Decision-Making

The Pressure of “Pressure Testing” Your Program: How to Truly Evaluate If You’ve Made the Right Call on Compliance Spend, Resource Allocation, Structure and More

Compliance is an art-not a science. Your job does not end after making tough decisions, but
continues with the need to continuously re-evaluate and measure the effectiveness of your

During this interactive session, CCOs will take you through their approaches to evaluating the
aftermath of decisions, charting solutions to address compliance weak spots, and making unpopular decisions that are critical to strengthening your program and mitigating heightened risk factors.

Networking Break

The Realities of Reporting to the Board and Audit Committee: Examples of How to Navigate New Corporate Governance Priorities and Expectations for Compliance

This session will address how to interface with an Audit Committee and Board of Directors amid a changing corporate governance landscape. Topics will include:

  • Trends in Board and Audit Committee priorities, including cybersecurity
  • What boards and audit committees have been expecting from Chief Compliance Officers
  • Positioning yourself as a strategic thinker that can influence the upper echelons of a company

Behind the Scenes of “Nightmare” Situations: CCOs Share The Good, The Bad and The Ugly of Cyber, Third Party, Trade Secret Theft and Other Worst Case Scenarios

This last, “closed-door” discussion will provide speakers and participants an enhanced opportunity to exchange war stories and the “behind the curtain” challenges affecting decisions and outcomes.

Situations to be addressed include:

  • Responding to a ransomware, data breaches and cyber intrusions
  • Dealing with uncooperative or non-compliant third parties, and those under investigation
  • When the government comes knocking
  • Dealing with the aftermath of trade secret theft
  • When the CCO relationship with General Counsel goes sour

Roundtable Concludes