2021 Compliance & Ethics Institute (CEI)

1. Polish Your Brand! Make Your Values Apply to Current Issues

   2021 Compliance & Ethics Institute (CEI)  | September 19, 2021 

   • Values are your brand/culture, so it's essential to state them clearly in code and enforce them

   • Values must be discussed in view of current issues for clarity with employees on how to act

   • Decisions must be made on brand re: safety/COVID-19, climate change, treatment of others beyond the law

2. Measuring Program Effectiveness with Data and Metrics

   2021 Compliance & Ethics Institute (CEI)  | September 19, 2021 

   • Incorporating data and metrics into your compliance program

   • KPIs are more than just numbers-they're critical data for your program!

   • Reporting on program effectiveness to key stakeholders of your compliance program

3. Conducting Remote Interviews in a Workplace Investigation

   2021 Compliance & Ethics Institute (CEI)  | September 19, 2021 

   • The advantages and disadvantages of remote instead of in-person interviews.

   • How to prepare for the remote interview, especially the technological challenges presented.

   • Techniques for conducting the interview, including new considerations and how to update your technique to maintain the quality of your questioning.

   • How to tighten the other steps in the investigation process so that these other steps augment the new interview techniques.

4. Building Boardroom Gravitas

   2021 Compliance & Ethics Institute (CEI)  | September 19, 2021 

   • Assess personalities and agendas of employees to increase productivity

   • Communicate and execute company vision while building a strong culture

   • Get the whole team involved

5. Managing the Most Difficult and Most Important Anti-Corruption Due Diligence Projects

   2021 Compliance & Ethics Institute (CEI)  | September 19, 2021 

   • Summarize important pitfalls to avoid in conducting due diligence in high-risk engagements

   • Review how to approach difficult issues for different types of third parties

   • Provide practical recommendations for managing stakeholders during the due diligence process

6. Effective E&C Risk Management Practice: Program Essentials and Core Practice Considerations (CEI 2021)

   2021 Compliance & Ethics Institute (CEI)  | September 19, 2021 

   • Gain a deeper understanding of the basic roles, approaches, and fundamentals of effective practice

   • Explore challenges, planning considerations, and strategic solutions to achieve successful outcomes

   • Leverage risk assessment findings and input to effectively prioritize, manage, and mitigate risk

7. How a Grassroots Movement Founded the Compliance Career Connection

   2021 Compliance & Ethics Institute (CEI)  | September 19, 2021 

   • Discover how a random email to a stranger sparked the creation of an online support community for job seekers in compliance and security

   • See how the movement jumped from the US to the UK, serving hundreds of job seekers via resume feedback, mock interviews, and networking-all by volunteers

   • Learn to tap the power of the new culture of "virtual" networking to craft a career development strategy to maximize success in your own career journey

8. Social Media: Old Platforms, New Risks

   2021 Compliance & Ethics Institute (CEI)  | September 19, 2021 

   • Examine what has changed under the new administration (and what we expect to see in the future)

   • Detail what these changes mean for your compliance program and employee training

   • Delve into best practices and dos and don'ts for managing social media risk

9. What Does Third-Party Compliance Monitoring Look Like in Real Life?

   2021 Compliance & Ethics Institute (CEI)  | September 19, 2021 

   • Provide practical solutions for monitoring third parties in compliance with the DOJ and SEC guidance

   • Evaluate systems, people, and resources for processes that can be automated for ongoing monitoring

   • Empower employees by fostering relationships, highlighting milestones, and building self-reliance

10. Board Oversight of Compliance Programs: A Key Driver for Program Independence and Authority

    2021 Compliance & Ethics Institute (CEI)  | September 19, 2021 

    • Key legal drivers for active and engaged board oversight

    • All about board reporting and the C and E officer's relationship with the board

    • Critical documentation of the board's role

11. Sibling Rivalry: How to Manage the Relationship Between Ethics & Compliance and Human Resources

    2021 Compliance & Ethics Institute (CEI)  | September 19, 2021 

    • The sources of conflict between E and C and HR? How does this tension hurt the organization?

    • The benefits when E and C and HR work together; some horror stories when everyone remains in silos

    • How to build trust to bridge the gap between the two functions

12. How to Build an Effective Data Privacy Program

    2021 Compliance & Ethics Institute (CEI)  | September 19, 2021 

    • Understand the principles of an effective data privacy program and demands of typical privacy laws

    • Review the necessary technical and organizational components of a program

    • Execute a program that advances compliance with privacy laws and contractual obligations

13. Applying the Latest DOJ Guidance to Your Program Analytics: A Practical Approach

    2021 Compliance & Ethics Institute (CEI)  | September 19, 2021 

    • Learn what data and analytics can do for your compliance program - and what they can't

    • Ask the right questions: Numbers and graphs are useless without human interpretation

    • Get started with analytics tools you can add to your compliance program today

14. #MeToo and #Blackat: Investigating Anonymous Workplace Harassment and Discrimination Claims

    2021 Compliance & Ethics Institute (CEI)  | September 19, 2021 

    • Understand and apply current industry best practices for conducting climate and culture assessments or investigations following allegations of identity-based harassment, discrimination, and other misconduct

    • Anticipate challenges in responding to such allegations in a sensitive, prompt, and thorough manner, and learn to identify possible corroboration for anonymous, initially unconfirmed allegations

    • Identify obligations under federal and state law and your company's policies and procedures that will guide the response to concerning but anonymous allegations of discrimination and other misconduct

15. Infusing Diversity & Inclusion into Your Compliance Program

    2021 Compliance & Ethics Institute (CEI)  | September 19, 2021 

    • The importance of including diversity and inclusion initiatives in your compliance program

    • Exploring various diversity and inclusion initiatives that can influence your compliance program

    • Effectively infusing diversity and inclusion initiatives in compliance programs and measuring the ROI

16. Synergies, Intersections and Opportunities between ESG and Compliance

    2021 Compliance & Ethics Institute (CEI)  | September 19, 2021 

    • ESG basics and how it will impact Compliance professionals

    • ESG myths and facts and what's new and not new

    • ESG reporting relationships, standards and materiality

17. General Session 1: Canceling the Compliance Culture

    2021 Compliance & Ethics Institute (CEI)  | September 20, 2021 

    • 2020 tested the idea that a business can plan and reduce vulnerabilities for every risk. None of us passed. In an era of calling out things that no longer work, compliance must move from uncovering what went wrong to helping stakeholders do what is right. Employees, suppliers, consumers, investors, regulators, society, our planet - all demand to know brands and companies have their back. Business is the most trusted entity in the world, and that trust is only at 61%. Leveraging data and new ways of working, we have the opportunity to expand ethics from executive boardrooms to everywhere business operates. It is time to cancel what we thought was enough and build the next phase of compliance.

18. A Risk-Based Approach to Managing Employee Hotlines: The Home Depot and International C&E Programs

    2021 Compliance & Ethics Institute (CEI)  | September 20, 2021 

    • How to use a bot to spot high-risk hotline reports

    • Applying risk score and root cause analysis to hotline reports

    • Developing dashboards to monitor hotline report

19. "Does Compliance Validate Parking?" Advice for CCOs on Managing Compliance Program Scope Creep

    2021 Compliance & Ethics Institute (CEI)  | September 20, 2021 

    • What is the real role of the CCO and how to add value to your organization?

    • Learn how to define the boundaries of your role while also collaborating with others

    • Discuss practical scenarios for balancing collaboration and boundaries

20. Recent Developments in Compliance Law: Using What's New to Advance Your Program

    2021 Compliance & Ethics Institute (CEI)  | September 20, 2021 

    • Review of the latest C and E guidance and requirements from the DOJ, SEC, EU and others

    • Review of recent case law governing board oversight of C and E programs

    • Consider strategies for using C and E legal developments to assess and enhance your program

21. Detecting Deception Using the Cognitive Interview in Investigations

    2021 Compliance & Ethics Institute (CEI)  | September 20, 2021 

22. Beyond an Episode Of CSI: Money Laundering Threat

    2021 Compliance & Ethics Institute (CEI)  | September 20, 2021 

    • Get to know what money laundering is and how it differs to terrorist financing

    • Listen to international cases to sharpen awareness to the impact money laundering has worldwide

    • Learn key practical effective controls that work to minimize the risk of being used to launder money

23. Current Developments in Compliance Programs' Ethics Considerations for Compliance Officers and Attorneys

    2021 Compliance & Ethics Institute (CEI)  | September 20, 2021 

    • This session will provide an overview of the ethical considerations that face anyone involved in compliance activities whether or not they are attorneys

    • Recent developments over the last year will be presented, including situations where compliance officers have become personally liable for failures in the compliance programs they were directing

    • There will also be a discussion of certain areas, such as technology, posing ethical obligations that might surprise a compliance officer

24. How to Make Your Anti-Corruption Compliance Program Best in Class

    2021 Compliance & Ethics Institute (CEI)  | September 20, 2021 

    • Learn the features of first-rate anti-corruption compliance programs beyond the basics

    • Apply lessons from recent FCPA enforcement actions in a practical way for your company

    • Using data, analytics, and looking at the future of compliance programs

    • FCPA Due Diligence in Cross-Border Transactions

25. Connecting the Dots: How to Bring Abstract Risks to Employee Reality

    2021 Compliance & Ethics Institute (CEI)  | September 20, 2021 

    • Discuss strategies for delivering training that is focused on behavior change

    • Dive in to how to go beyond training to localize and contextualize risk

    • Uncover examples of successful programs integrating training, reinforcement, and behavior change