Good news for compliance, audit, and risk executives looking to have a good time next year at company expense—we’ve announced the first few sessions on the agenda for the Compliance Week 2015 conference!
Next year’s event will be our 10th annual conference, and as always, we strive to make it the most informative, productive, and enjoyable investment of your time. The conference itself will be May 18-20, 2015, at the Mayflower Hotel in Washington, D.C. We expect roughly 500-550 attendees from around the world, managing governance, risk, and compliance at some of the largest and most sophisticated organizations in business today.
Anyway, let’s get on with this year’s agenda. Here’s what we have so far:
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, through investigations, to case disposition and documentation.Speaker(s):
Marita Janiga, executive director of national investigations & compliance hotline, Kaiser Permanente
Assessing Your Risks in Antitrust
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.Speaker(s):
Tim Bridgeford, senior corporate counsel for FCPA, antitrust & investigations, Tyco InternationalAdditional speakers to be announced
Compliance Officer’s Role in Investigations and Discipline
The compliance officer’s role in the “front end” of investigations—managing whistleblower hotline 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.Speaker(s):
Jim Zappa, associate general counsel and chief compliance officer, 3M Corp.Additional speakers to be announced
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.Speaker(s):
Tim Hediger, lead GRC program administrator, GM FinancialAdditional speakers to be announced
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 regulation; 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 from highly regulated businesses with complex compliance needs, showing how training can work efficiently and effectively.Speaker(s):
Jennifer Tocci, senior compliance group manager for technology, reporting & staff development, TDAdditional speakers to be announced
Measuring and Documenting Compliance Effort
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.
Bruce Anderson, chief ethics & compliance officer, HealthNetAdditional speakers to be announced
Stitching the Silos Together Into Enterprise-Wide Compliance
Most companies do have pockets of hard-working compliance teams scattered across the business: environmental, tax, health & safety, and so forth. How does a compliance leader bring multiple efforts together into one corporate compliance program, especially when building your company’s program for the first time? This session will cover the “silo inventory” you take to understand what is already happening, the process to set goals for enterprise-wide compliance, and the techniques to centralize oversight and improve reporting.Speakers to be announced
Smarter Moves in Fraud Risk Assessment
Reducing fraud risk is one of the most important tasks compliance and audit executives face, and also one of the most difficult in today’s world of accelerated business transactions scattered across the extended enterprise. This session will look at three pillars of identifying fraud risk: finding gaps in fraud controls, moving to continuous monitoring of those controls, and improving analytics of financial transactions to raise fraud concerns at the right time.Speakers to be announced.
Smarter Risk Analysis in the Era of Big Analytics
The volume of corporate data, and a company’s ability to analyze it all, are both exploding. That will have profound implications for corporations trying to identify possible fraud, weak spots in supply chains, or evidence for an investigation. This session will look at new ways to employ “Big Analytics” for sharper insight into risk areas, and consider how important it is for companies to improve analytic capabilities, as regulators do the same with their own computing firepower.Speakers to be announced
These sessions above are only the first few of what will ultimately be dozens of panel discussions, small-room workshop sessions, and keynote addresses. Speaking of keynotes: Leslie Caldwell, assistant attorney general for the Criminal Division at the Justice Department, will give a keynote address to outline her views on prosecuting corporate corruption. More keynoters will be announced soon, as will more sessions and more speakers.
Early-bird registration is now open, so anyone who likes to get a jump on things can start now. And if any compliance or audit executives would like to speak at our 2015 conference, either on one of the sessions listed above or on some other good idea you have, please email me at email@example.com. Even if you don’t want to speak, email me anyway; the Compliance Week conference is always a collaborate event, and we want to hear from you about what’s important and what can push the profession to even greater heights.
That’s all for now. More to come soon.