Compliance and Risk Forum 2016

October 24, 2016

Palmer House Hilton

17 East Monroe St.
Empire Room, Lobby Level
Chicago, IL 60603
Tel: 312-726-7500


8:00 am – Networking Breakfast and Registration


8:45 am – Welcome and Introduction


9:00 am – Preparing Your Employees To Be The Compliance Front Line

Maintaining a culture of compliance requires far more than strong compliance programs and processes. As the front line in compliance, the business has a leading role to play to ensure that compliance is in the DNA of the organization. During this session we will discuss how to ensure that your employees, at all levels, are engaged around ethical and compliant behavior via robust training, code of conduct, managing conflicts, cases, escalations and more.

Sean Beals, Director, Market Development, Risk Thomson Reuters
Leona Gleason, Executive Vice President, Wintrust Financial Corporation
Matt Shepherd, Principal Consultant, ACA Consulting Group
Erinn Wehrman, Assistant General Counsel -- NA Litigation & Compliance, GATX Corporation

9:50 am – Networking Break


10:10 am – Choosing And Monitoring Your Third Parties And Gatekeepers

Reports indicate that 90 percent of the U.S. Department of Justice enforcements involve third parties. As many relationships were vetted years ago when standards of diligence were less prudent, businesses must institute a process for reevaluating third party engagements as well as for bringing on new partners and agents. For businesses that are looking to determine the level of risk they are willing to bear, they must consider a range of questions and during this session our panel will explore considerations including:

  • What are the criteria to screen against?
  • How has this changed and evolved over recent months?
  • Are you reviewing established relationships?
  • When and how often do you undertake enhanced due diligence?

Julie DiMauro, Regulatory Intelligence and Compliance Learning Specialist, Thomson Reuters
Gabe Duran, Chief Compliance Officer, Hovde Group
Scott Swanson, Financial Crimes Unit, PwC
Eric Sussman, Partner, Litigation Division, Paul Hastings

11:00 am – Evolving Compliance: Trends And Technology That Are Changing The Profession

The outlook for the compliance profession continues to evolve. Although the pace of regulatory change continues at an alarming rate, most compliance departments are seeing the historical year over year rise in available budgets abate, and the availability of highly skilled professionals is at an increasing premium. During this session our panel will look at how the changing environment and the introduction of new technology are impacting the business of compliance. Topics will include:

  • Addressing challenges such as increased UBO requirements and personal liability
  • Using technology to free up resources and remove barriers to entry
  • Merging the critical human element with technology

Ted Banks, Partner, Scharf Banks Marmor LLC Randall Mikkelsen, Managing Editor, Compliance and Regulatory Risk, Thomson Reuters
Randall Mikkelsen, Managing Editor, Compliance and Regulatory Risk, Thomson Reuters
Michael Rasmussen, The GRC Pundit, GRC 20/20 Research, LLC

11:55 am – Closing Remarks


12:00 pm – Networking Lunch


Event information

Tuesday, September 13
San Francisco:
Wednesday, October 19

Monday, October 24
Wednesday, October 26

Thursday, November 17