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You are here : About  >  Agenda/Sessions  >  Wednesday

Wednesday (Post Conference)



Post-Conference Breakout Sessions

8:00 - 9:45 AM

 Risk back to top

W1: Managing Trade Compliance Risks: Exports, Imports, Human Trafficking and other Challenges

  • Explore the key components of a successful trade compliance program.
  • Identify common trade compliance gaps and risk areas through discussion of real-life enforcement examples and risk mitigation strategies.
  • Learn how Human Trafficking can disrupt your supply chain and the steps your company can take to prevent disruption of your business.

Gwendolyn Hassan, Managing Counsel, Global Compliance & Ethics, CNH Industrial

 Ethics back to top

W2: Creating and Maintaining an Ethical Culture: How to get your employees to act ethically, even when no one is looking

  • How to efficiently train and engage an entire organization.
  • Ideas on how to deliver the message outside of training on a consistent basis.
  • How to elicit feedback and put ideas into place.

Jennifer Drost, Chief Ethics and Compliance Officer & Senior Counsel, Travelers Canada

Tim Glasby, Compliance Director (Solicitor) & MLRO, Europe, Travelers


 Case Studies back to top

W3: General Electric’s Risk Roll Up: Targeting the Elusive Tone in the Middle

  • The RRU is a multi-division wide, manager-led, employee driven compliance risk assessment, using a bottom up approach where each manager meets with her or his reports, selecting three of the 16 GE code of conduct topics to discuss.
  • 1000s of questions are answered on the spot, thousands are put into a tool where a subject matter expert responds on both to the manager and the concern raiser. The manager then meets with their manager and so on until entire divisions are rolled up, with CEOs of the sub-divisions reporting out to the division CEOs on top compliance issues—as identified by their employees, not by leadership—and action items.
  • The process works to drive the unknown unknown issues to the compliance team, makes managers in the middle the face of compliance, requires the managers to better understand the compliance topics to teach them and potentially results in the avoidance of major misses and business interruptions.

Joseph Suich, Chief Compliance Officer & Counsel, GE Power

 Multinational/ International back to top

W4: Is it still possible to fly under the radar? The multiple layers of liability for overseas corruption that corporate officers and companies face and how compliance programs can address them

  • The multiple layers of national and international jurisdictions (World Bank, United Nations, Multilateral Development) that can lead to personal and corporate criminal and administrative liability for overseas corruption and fraud
  • Personal consequences and individual sanctions that corporate officers can face if their company is involved in a case of overseas fraud and corruption and the triggers of personal liability.
  • Compliance programs and negotiated resolutions that are available specifically to individuals to mitigate the risks of personal liability.

David G. Hawkes, Head of Special Litigations, World Bank Group Integrity Vice Presidency 

 Compliance Lawyer back to top

W5: Big Data and Secondary Uses of Data: Practical Tips to Avoid Privacy Pitfalls and Regulatory Risk

  • Explore pitfalls and regulatory risks involving the use of big data.
  • Learn practical tips to ensure privacy compliance and leverage data for secondary uses.
  • Learn best practices for the legal/ethical use of big data to facilitate the improvement of products/ services, marketing campaigns, and patient health.

Corey Dennis, Director of Privacy & Counsel, PPD 

Asra Ali, Compliance and Risk Manager, HealthScape Advisors 

 IT Compliance back to top

W6: IT Prevention Requires More Than 1 Day a Year - The Other 364 Days a Year

  • Understand how to address the weakest link within organizations - employees and third-party service providers - to ensure situational awareness, policy, procedure, training, and best practice information is continually shared to keep employees compliant.
  • Ensure employee certification and compliance is trackable in order to have legal-ready, audit-ready documentation in the event of incidents or other issues, and understand the value and importance of having this real-time information.
  • Discover how organizations can save time, money, and other resources by utilizing a central, secure, online platform to achieve compliance and certification tracking goals.

Rick Shaw, President, Awareity

 General Compliance and Hot Topics back to top

W7: Around the World in 80 Minutes

  • A comprehensive look at some of the main issues affecting compliance globally with a contrast and compare between the main theatres of operation – the Americas, EMEA and Asia Pacific.
  • Top rated speakers discuss a wide range of issues including the cyber threat, bribery and corruption, workforce compliance issues (like modern slavery and immigration), privacy, the increasingly global nature of the media.
  • Common threads running across borders will help you manage your global operations effectively whilst staying sensitive to local cultures.

Jonathan Armstrong, Partner, Cordery 

Mary Shirley, Senior Director, Ethics and Compliance, Fresenius Medical Care North America 

Kristine Robidoux, Senior Compliance and Regulatory Counsel, Gran Tierra Energy Inc.

 General Compliance and Hot Topics back to top

W8: Compliance Program 3.0 - The Data Driven Compliance Program

  • Learn how leveraging advanced training data can optimize seat time and inform program design.
  • Learn how advanced analytics can obtain buy-in across the organization.
  • Leverage analytics to build effective compliance communications, assess risk, and raise awareness.

Neha Gupta, Director, NYSE Governance Services 

Lana D. Radchenko, Director - Corporate Compliance, Sempra Energy 

Vinca Russell, CCEP, Global E&C Training and Comms Manager, Ingersoll Rand 

Mark Ehrlich, Senior Director, Global Ethics & Compliance, Hilton Worldwide

Networking Break

9:45 - 10:00 AM

Post-Conference Breakout Sessions

10:00 - 11:45 AM

 Risk back to top

W9: The Wolf In Sheeps Clothing: Do You Know Where Your Next Risk Is Coming From?

  • This unique workshop experience will examine and explore ethics and compliance risks across global organizations from various angles and perspectives to stay nimble in the every changing world of risk management.
  • Attendees will collaborate, discuss strategy, and share experience related to effective risk identification and management.
  • Session takeaways will include leading practices for effective risk mitigation and how to stay proactive and vigilant to risk vulnerabilities.

Krista Muszak, Global Compliance Manager, Tech Data 

Louis J. Perold, Global Compliance Manager, Jabil

 Investigations Workshopback to top

W10: Join Our Investigation: An Experiential Session from Helpline Call to Final Report

  • This experiential learning session builds upon the excellent Investigations Workshop provided to attendees at the pre-conference workshop each year by Meric Bloch and colleagues.
  • This session includes a mock investigation. Participants will take the first Helpline Contact and build their investigation from the investigation plan, interviews, evidence-gathering to investigative report.
  • This session will provide key learning points to both the new and seasoned investigator to assist them in supporting their organizations.

Wendy W. Evans, Sr Corporate Ethics Investigator, Lockheed Martin 

Roxane MacGillivray, Senior Ethics Investigator, Lockheed Martin

 Case Studies back to top

W11: Impact of Compliance within Organizations

  • Compliance professionals are critical in financial organizations in establishing a supervisory system that encourages standards of ethical conduct. Over the past few years, we have seen compliance professionals being held responsible for system failures.
  • A recent study explores the impact of compliance within financial institutions as a way to understand the administration of effective programs to prevent deficiencies within firm policies.
  • This session will discuss the two-year project and the challenges of compliance officers. It shares common themes, techniques, and practices which might be helpful to the compliance practitioner.

Shawn Washington, CEO, The Circle E Ranch

 Multinational/ International back to top

W12: Who is the Launderer?

  • Let’s think for a while like a criminal…in this way you will be able to find out why money laundering exists and why it keeps growing internationally.
  • Discover which are the common weaknesses in companies worldwide…is your company protected? But more importantly, are you?
  • Learn why people cross to the evil side and why money laundering should matter to all of us.

Mónica Ramírez Chimal, Managing Director/Partner, Asserto RSC

 Compliance Lawyer back to top

W13: Summary of Changes in Employment Regulations

  • Understand the most significant E&C related policy changes since the new Administration took office
  • Get an overview of how the changes affect businesses and impact ethics and compliance programs
  • Become familiar with new focus and priorities for Federal Agencies including the Department of Homeland Security, Department of Labor, and Securities and Exchange Commission

Paige Shannon, Federal Services Counsel & Compliance Officer, Kforce, Inc.

Adelle Elia, CCEP, Chief Integrity Officer, Louis Berger

 IT Compliance back to top

W14: Handling a Cybersecurity Investigation: A Discussion with a Regulator, a Lawyer, and a Security Expert

  • The panel will provide a broad introduction to regulatory investigations and enforcement actions from FTC, FCC, SEC and others in the cybersecurity/privacy space.
  • The panel will then engage the audience in a “mock” regulatory investigation of a hypothetical company by a hypothetical agency, soliciting real-time feedback from the audience on appropriate next steps for the company as the investigation develops.
  • The presentation on whole will review regulatory requirements; best data protection practices; preservation, privilege and other litigation issues; and effectively interfacing with regulators.

Jay Johnson, Partner, Jones Day 

Chad Pinson, Managing Director, Stroz Friedberg 

Shamoil Shipchandler, Regional Director, Fort Worth Regional Office, U.S. Securities

 General Compliance and Hot Topics back to top

W15: Do-Re-Mi (Starting at the very beginning)

  • This session will help you bring to life the major steps you should take whether you have a new position, new boss, new business segment, strategy refresh or new responsibilities.
  • Musical inspiration from the Beatles, Queen, Aerosmith, Kenny Rogers and ABBA is used to keep themes top of mind for the audience.
  • Topics covered will include:- Introductions and making a great impression- Finding easy wins - Learning the business and/or new requirements - Talking strategy - Bringing everything together for the whole package.

Lisa Beth B. Lentini, Assistant General Counsel, Compliance, Deluxe Corporation 

Kortney Q. Nordrum, Investigations & Risk Consultant, Deluxe Corporation

 General Compliance and Hot Topics back to top

W16: Transforming Compliance & Ethics Learning - Lessons from 4 Financial Services Global Leaders

  • Insights from industry practitioners on how to use learning to shape a culture of compliance and drive dayto-day ethical behavior.
  • How to execute a learning program that satisfies both auditors and external regulators in your industry.
  • Real world guidance on managing regional versus global compliance learning needs at complex, multi-national institutions.

Gary Collins, Director, Compliance Management Division, BNP Paribas 

Cassandra Knight, Head of Company Compliance, Morgan Stanley 

Melinda Miller, VP Manager Regulatory Compliance, HSBC