22nd Annual Compliance & Ethics Institute

1. P1 EXTRA! EXTRA! Read All About It! Embark on a Voyage to the New World of Corporate Compliance and Ethics Week Featured at CEI World's Fair Chicago 2023!

   22nd Annual Compliance & Ethics Institute  | October 02, 2023 

   • INNOVATION! Compliance Week World's Fair: Come to Swap Ideas! Discover Tech Magic! Build Culture!

   • INTERACTIVE! CW in an hour? YES - visit the Imagination Stations and bring your ideas to share!

   • SPOTLIGHT! Crowdsource promotion of a culture of compliance, ethics, and accountability!

2. P2 Asking Better Questions: Insights from Behavioral Scientists on Designing Compliance and Culture Surveys

   22nd Annual Compliance & Ethics Institute  | October 02, 2023 

   • Discern the difference between a well-designed and poorly-designed question

   • Apply the principles and techniques of effective question and survey design

   • Collect rich qualitative and quantitative data, while avoiding survey fatigue

3. P3 Using Social Media as Evidence: Risks, Scenarios and Rewards

   22nd Annual Compliance & Ethics Institute  | October 02, 2023 

   • When social media is helpful in an investigation

   • How to use social media in an investigation legally and ethically

   • The risks and benefits of social media evidence in an investigation

4. P4 How Many Risks Would a Risk-Taker Take If a RiskTaker Could Take Risks?

   22nd Annual Compliance & Ethics Institute  | October 02, 2023 

   • Discover ways to efficiently identify your organization's top risks using key stakeholders

   • Learn about several ways to ensure these risks resonate throughout the entire organization

   • Learn how to develop and track corrective actions in an effective manner

5. P5 Evolving Your Investigation Protocols: How to Be a Superhero Investigator in a Changing and Challenging World

   22nd Annual Compliance & Ethics Institute  | October 02, 2023 

   • Expand your knowledge regarding best practices in investigations, including interview tips

   • Explore options when investigations go off course, including transformative justice approaches

   • Learn how to tune in to your Spidey sense during an investigation: Is the next best step to stop?

6. P6 Burnout Is an Occupational Hazard, Not a Failure of Character: Strategies for Addressing a Toxic Culture and Rebuilding Resilience

   22nd Annual Compliance & Ethics Institute  | October 02, 2023 

7. P7 Board Oversight of ESG: Essential Components and Trends

   22nd Annual Compliance & Ethics Institute  | October 02, 2023 

   • Discuss the board's role in ESG oversight and what compliance and ESG professionals can do to help

   • Identify key ESG areas of focus for boards

   • Review trends for various board oversight structures

8. P8 Project Management in Compliance Programs at Different Stages of Maturity

   22nd Annual Compliance & Ethics Institute  | October 02, 2023 

9. P9 Think Global, Act Local? Or Not? When to Regionalize Your Program and When Not To!

   22nd Annual Compliance & Ethics Institute  | October 02, 2023 

   • Learn to evaluate where to make the program uniform and where to allow changes

   • Understand how to effectively deal with "that's not the way it's done here" and other objections

   • Hear specific examples and lessons learned from leaders who've successfully navigated the path

10. P10 Compliance 101

    22nd Annual Compliance & Ethics Institute  | October 02, 2023 

    • Define the steps in developing an effective compliance program

    • Outline the regulations that are critical for review and application in developing a CP

    • Discuss how to implement the CP after the development stage

11. P11 What You Don't Know Will Hurt You!! Effective Monitoring & Auditing Practices

    22nd Annual Compliance & Ethics Institute  | October 02, 2023 

    • Gain a deeper understanding of monitoring and auditing fundamentals necessary for effective practice

    • Explore challenges, planning considerations, and strategic solutions for effective monitoring and auditing

    • Consider a real-world scenario and related risks and apply monitoring and auditing concepts and strategies

12. P12 Flip the Script: Take Your Program from Predictably Tiresome to Purposefully Awesome

    22nd Annual Compliance & Ethics Institute  | October 02, 2023 

    • Empower and lead your team to be unexpected and think differently

    • Leverage creativity and diversity of thought to engage employees and change the "boring" narrative

    • Surprise the organization and move beyond how it's always been done and into a brave new world

13. P13 The Champions Network: A Blueprint to Expand Your Compliance Influence and Spread Big Ideas in Any Organization

    22nd Annual Compliance & Ethics Institute  | October 02, 2023 

    • Understand the psychology behind champions networks, including "diffusion of innovations" research

    • Review the six steps: support; structure; recruitment; training; implementation, and metrics

    • Examine several case studies and best practices of well-organized and successful champions networks

14. P14 Speak-Up Programs: Rewards of Cultivation and Risks of Neglect

    22nd Annual Compliance & Ethics Institute  | October 02, 2023 

    • Speak-up culture: who drives it, and what are the risks of not having one?

    • Speak-up mechanisms: where do they reside, and when do they need improvement?

    • Speak-up data: why collect it, and how can analytics be used to mitigate risk?

15. P15 ESG and DEI: How to Position for Stakeholder Success

    22nd Annual Compliance & Ethics Institute  | October 02, 2023 

    • Understand the concepts and alignment of ESG and DEI

    • Identify the key benefits of an aligned ESG and DEI strategy

    • Examine issues and solutions for ESG reporting of DEI

16. P16 Interactive Policies: Using Technology to Enhance Decision-Making

    22nd Annual Compliance & Ethics Institute  | October 02, 2023 

    • Create automated tools that offer custom policy guidance based on specific details of a situation

    • Go beyond guidance by building interactive approval forms and triggering automated actions

    • Use data to measure the impact of tools and improve the overall quality of your compliance program

17. 101 Training and Communications for Humans That Humans Won't Hate

    22nd Annual Compliance & Ethics Institute  | October 03, 2023 

    • Bring your compliance program to life through a human-centric learning and development strategy

    • Provide training that empowers employees to make ethical decisions in their everyday work

    • Get practical and tested tips on how to engage people through dynamic learning and engagement

18. 102 From Hotline Complaint to Final Report: Practical Techniques and Best Practices for Conducting, Coordinating and Managing Internal Investigations

    22nd Annual Compliance & Ethics Institute  | October 03, 2023 

    • Learn Procedural Due Process techniques for neutral fact-finding and comprehensive report writing

    • Learn to coordinate compliance investigations with GC, IA, HR, outside counsel, and investigators

19. 103 Disasters and You: The Role of the Compliance Team in Disaster Preparedness, Response, and Recovery

    22nd Annual Compliance & Ethics Institute  | October 03, 2023 

    • Ensure that compliance objectives are baked into all phases of disaster planning

    • Define regulator expectations and compliance risk in disaster situations

    • Anticipate demands by building data collection and reporting capabilities

20. 104 Privacy Primer: What Every Compliance Professional Needs to Know about Privacy

    22nd Annual Compliance & Ethics Institute  | October 03, 2023 

    • Understand how the current data privacy landscape, including new laws and enforcement trends, affects your compliance program

    • Discuss the pain points that every organization faces when working to comply with data privacy laws, and how compliance can be a key stakeholder in overcoming those challenges

    • Learn the best ways to collaborate and create synergies in your organization when compliance and privacy are separate departments

21. 105 Cultivating an Effective Compliance Program in an Economic Downturn

    22nd Annual Compliance & Ethics Institute  | October 03, 2023 

    • Managing stakeholders: How to align stakeholders facing commercial pressures

    • Triaging limited resourcing: How to make and justify tough decisions, and increase efficiency of external advisors

    • Anticipating stabilization: How to prep for a return to normal, with discussion of enforcement trends

22. 106 Phone a Friend: What Our Information Security and Privacy Colleagues Can Teach Us

    22nd Annual Compliance & Ethics Institute  | October 03, 2023 

    • Learn how the legitimization and convergence of roles are changing the landscape

    • Understand the mindset of each of these guardian professions

    • Identify optimal ways to work across functions that you can implement immediately

23. 107 What Can DEI Leaders Learn from Compliance Professionals? A Lot, Actually...

    22nd Annual Compliance & Ethics Institute  | October 03, 2023 

    • Build out your organization's DEI strategy using elements of an effective compliance program

    • Influence equitable policies and procedures, both individually and as part of an organizational team

    • Position the leaders in your organization to make an impact in DEI through training

24. 201 Dynamic Compliance: The Role of Compliance and the Board

    22nd Annual Compliance & Ethics Institute  | October 03, 2023 

    • Gain an understanding of compliance's interactions with the board, including cadence of communication and topics

    • Discuss the level of board involvement in specific compliance matters and evolving regulations

    • Identify types of metrics and analytics used in reporting and compliance management

25. 202 Where are Your Cameras? Using Fraud Risk Management to Get the Most from Your Compliance Program

    22nd Annual Compliance & Ethics Institute  | October 03, 2023 

    • How to integrate your fraud risk management and compliance initiatives

    • The impact of fraud risk management on your staff

    • How organizations are using anti-fraud tools and controls to improve their fraud risk management and compliance programs