Chief Compliance Officer Roundtable
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
“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.
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
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
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 decisions.
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.
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
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