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How to Evaluate & Strengthen Your Compliance Program


Level: Advanced
Runtime: 60 minutes
Recorded Date: October 08, 2021
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Agenda

  • Purpose of Compliance Programs
  • Who is Responsible for Ensuring Compliance Success?
  • Building an Effective Compliance Program: Prevention, Detection, and Corrective Action
  • Best Practices for Evaluating Your Compliance Program’s Effectiveness
  • Tips to Ensure a Strong Compliance Program
Runtime: 1 hour
Recorded: October 8, 2021

For NY - Difficulty: Experienced Attorneys Only (Non-Transitional)

Description

Evaluating the success of your corporate compliance program can be challenging. Far too many businesses simply determine the success of these efforts by monitoring their anonymous reporting tools, but tracking these reports isn’t enough. This session will delve into building out a robust compliance program, from standards, policies and procedures, to investigations and remedial measures. This session will provide you the tools you need for an effective and efficient program.

This program was recorded as part of Corporate Counsel's Women, Influence, and Power in Law Conference held on October 8th, 2021.

Provided By

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Panelists

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Helene Glotzer

Chief Compliance Officer & Counsel
Bridgewater Associates

Since joining Bridgewater in 2007, Helene has led Bridgewater’s compliance function, including creating and maintaining a program that satisfies regulatory, fiduciary, and client contractual obligations while simultaneously implementing global best practices and standards. She is also responsible for demonstrating assurance to Bridgewater’s clients, auditors, and regulators that Bridgewater’s compliance program meets or exceeds all of its responsibilities, and for regularly conducting compliance training with Bridgewater employees. A member of Bridgewater’s Executive Committee and Operating Committee, Helene manages the firm's participation in various private fund best practice initiatives, including the Alternative Investment Management Association and the Standards Board for Alternative Investments. Outside of Bridgewater, Helene serves as Chair of the Managed Funds Association Investment Adviser Committee and as a Director on the Board of Hartford Healthcare. In 2018, Helene was named among the “50 Leading Women in Hedge Funds” by The Hedge Fund Journal. She regularly speaks at industry conferences on issues relating to alternative asset management risk, compliance, technology, legal, and diversity and inclusion.

Before joining Bridgewater, Helene spent ten years as an attorney in the Enforcement Division of the US Securities and Exchange Commission. From 2004-2007, she co-headed the enforcement program for the SEC's New York Regional Office, where she oversaw investigations and litigation involving insider trading, market manipulation, accounting fraud, Ponzi schemes, and other fraudulent conduct. She started her career as a litigation associate at Brown & Wood LLP.

Helene received her JD from the University of Michigan Law School and her BA from Binghamton University.

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Donna Bucella

Chief Compliance Officer
7-Eleven Inc.

Donna A. Bucella joined 7-Eleven in 2018 as Vice President and Chief Compliance Officer. Previoiusly, she was the President of Compliance for Guidepost Solutions an international compliance consultancy. Formerly, she was the U.S. Attorney for the Middle District of Florida and has extensive senior leadership experience with the U.S. government including the Departments of Justice, Homeland Security, and Defense, and with three publicly-traded companies: Education Management Corporation, Perot Systems Government Services, and Bank of America.

Additionally, she practiced law with Foley & Lardner LLP and Steel, Hector and Davis LLP. Especially noteworthy, Ms. Bucella was selected by the President of the United States and the Director of the FBI to become the first Director of the Terrorist Screening Center which she created from inception and led it to full operational capacity. Throughout her career, she has been the recipient of numerous awards and decorations.

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Rebecca Rohr

Vice President, Anti-Corruption and Global Trade, Ethics & Compliance Office
Hewlett Packard Enterprise

Rebecca (Becky) Rohr is Vice President, Anti-Corruption and Global Trade, in the Ethics & Compliance Office at Hewlett Packard Enterprise. She supervises a team of attorneys, auditors and compliance professionals located in offices around the world.

Before joining HPE in May 2016, Ms. Rohr served as the Principal Deputy Chief of the Fraud Section in the Criminal Division of the Department of Justice, where she supervised over 120 prosecutors who worked on cases involving the Foreign Corrupt Practices Act, financial and securities fraud, and health care fraud.

Ms. Rohr graduated from the U.C.L.A. School of Law and Cornell University. Ms. Rohr lives in Washington DC with her twin son and daughter.

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Julie Myers Wood

CEO
Guidepost Solutions, LLC

Julie Myers Wood is the chief executive officer of Guidepost Solutions, a leading investigative and compliance consulting firm. She joined the firm in 2012, as president of its Compliance, Federal Practice and Software Solutions division. Prior to joining Guidepost Solutions, Ms. Wood was the former founder and president of ICS Consulting, LLC, a firm specializing in compliance, risk assessments, immigration and customs investigations. Guidepost Solutions acquired ICS Consulting in September 2012.

Ms. Wood focuses on regulatory compliance and investigative work. Most recently, she supervised a comprehensive technology review and assessment of the Office of Foreign Assets Control (OFAC) and anti-money laundering (AML) capabilities for a global bank, overseeing the implementation of data analytics capability to detect anomalies in AML and OFAC screening, as well as USD clearing for correspondent banks. Ms. Wood managed a team reviewing the AML and sanctions rules/wraps, internal software platform, investigator training and alert closure, and procedures/policies. In this role, she worked closely with New York regulators.

Prior to joining the private sector, Ms. Wood served as Head of Immigration and Customs Enforcement for the Department of Homeland Security (DHS) leading its largest investigative component and the second largest investigative agency in the federal government with a budget of nearly $6 billion and 15,000 employees. In supervising ICE’s investigative activity, Ms. Wood oversaw the agency’s wide variety of AML and trade compliance (OFAC, EAR, ITAR) investigations and private sector compliance programs, testified about best practices and investigations, and enforced the Export Administration Act and related export control regulations. Under her leadership, the agency developed new methods and proposed legislative language to combat emerging trends relating to trade-based money laundering, check cashing and money remitters, and stored value cards.

Ms. Wood’s previous leadership positions in the federal government include Assistant Secretary for Export Enforcement at the Department of Commerce and Chief of Staff for the Criminal Division at the Department of Justice. She also served as Deputy Assistant www.guidepostsolutions.com JULIE MYERS WOOD Chief Executive Officer Secretary (Money Laundering and Financial Crimes) at the Treasury Department, where she helped draft regulations relating to Title III of the Patriot Act, coordinated the U.S. government’s national report/strategy on money laundering, and oversaw Treasury Enforcement activities relating to OFAC. Ms. Wood served as an Assistant U.S. Attorney for the Eastern District of New York, where she prosecuted criminal cases including financial crimes, securities fraud, and other white-collar criminal cases.

Ms. Wood began her legal career at the law firm of Mayer, Brown & Platt in Chicago, Illinois. She is a graduate of Baylor University and Cornell Law School.


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