Overall Survey | CEU Application

New or Seasoned Compliance Professionals: Understanding Your "Hat"

Krista Muszak, GS SOX Controls and Compliance, Supervisor, Johnson & Johnson
Nilda Houellemont, Compliance Senior Analyst, HR/Payroll, Johnson & Johnson

  • Discuss the "Non-linear paths" to compliance and how to best integrate these new skill sets.
  • Assess new ways to enhance business enablement and partnership
  • Share mentoring ideas and the responsibilities of both new and seasoned compliance professionals.
Presentation
Evaluation

Compliance Professionals and the False Claims Act

Gabriel Imperato, Managing Partner, Nelson Mullins Riley & Scarborough
Jeremy Bloor, Assistant U.S. Attorney, Office of The United States Attorney, Middle District of Florida

  • Application of False Claims Act cases to prepare compliance program "work plan", risk assessment and training.
  • Review False Claims Act provisions which govern standards of effectiveness for compliance programs.
  • Discussion of False Claims Act procedure and aspects of Department of Justice investigation and guidelines for cooperation credit.
  • Managing compliance risk, internal investigations, and self-disclosure.
Presentation
Evaluation

Conflicts of Interest: Strategies to minimize conflicts

Rebecca Rehm, Senior Manager, Compliance Business Partner, Olympus Corporation of the Americas
Natalie Norris, Senior Director of Ethics, Financial Industry Regulatory Authority

  • Timing matters
  • Benchmark your disclosure and certification process
  • Embedding COI management in your business processes
Presentation
Evaluation

Compliance Fails and Lessons Learned the Hard Way

Mariah Rodriguez, Director, Alvarez & Marsal
Mary Shirley, Head of Culture of Integrity and Compliance Education, Fresenius Medical Care North America

  • Invest in a good quality technology system - embrace technology early on!
  • Be prepared to make regulatory program changes at a whim, based on an ever-changing regulatory appetite.
  • If your organization is in trouble, own it, resolve, and implement immediate controls.
Presentation
Evaluation

Eat the Elephant One Bite at a Time - Using a Maturity Model to Build and Improve Your Compliance Program

Suzanne Montgomery, VP & Chief Compliance Officer, Chewy

  • Explain what a maturity model is
  • Describe how the Sentencing Guidelines and/or DOJ Guidance can be adapted into a maturity model, including examples
  • Lead interactive discussion on building a compliance improvement plan using a maturity model
Presentation
Evaluation

M&A Ethics and Compliance Considerations

Ana-Paola Capaldo Aoun, Director, Ethics & Compliance Officer, Tech Data
Richard Montes De Oca, Managing Partner, MDO Partners

  • Due diligence before you seal the deal: evaluating programs, spotting red flags, and cultural "audits" as part of your due diligence process
  • Operating in a limited-information limited-data environment
  • Integration considerations for your program post-M&A
Presentation
Evaluation

 

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