December 3, 2024
Gaylord National Resort & Convention Center Washington, DC
S. Yerramilli Lead, Global Compliance Controls & Monitoring Google
Palesh Senior Director, Compliance Analytics CoE Lead Pfizer
Galvin Counsel, Compliance & Data Analytics U.S. Department of Justice
SUPPORTING SPONSORS
Matt Galvin Counsel, Compliance & Data Analytics U.S. Department of Justice
Bryan Judice
Vice President of Client Solutions Kona AI
Joe Kaczorowski
Senior Vice President - Risk, Analytics, Technology and Innovation Mastercard
Brendan Kelleher
Partner, Chief Compliance Officer & Head of Enterprise Risk
SoftBank
Michael Koenig
Global Chief Ethics and Compliance Officer
JBS
Thomas Larsen Head of Integrity Analytics ABB
Andy Miller Chief Analytics Officer Lextegrity
Tara Palesh Senior Director, Compliance Analytics CoE Lead Pfizer
Roberta Paoloni Vice President, Ethics and Compliance Albemarle
Mihnea Rotariu Director, Ethics & Compliance Monitoring, Assessments and Audits
Baxter
Karen Sgoutas Senior Director, Compliance Analytics & Systems
Stryker
Hyojin Helena Song Director of Analytics, Compliance & Ethics
Microsoft
Keith Thomas Lead Counsel, Corporate Integrity & Compliance FedEx Corporation
Omid Uskowi
Senior Director & Associate General Counsel, Head of Legal Audits, Compliance Analytics & Compliance Investigations Procter & Gamble
Vincent Walden CEO Kona Al
Aditya S. Yerramilli Lead, Global Compliance Controls & Monitoring Google
December 3, 2024
7:30 Registration and Continental Breakfast
8:00 PRE-CONFERENCE PRIMER
Whether you are just getting started, or already off and running with your data analytics program, attendees of this primer will walk away with an understanding and clarification on the critical components of a data analytics program in alignment with DOJ guidance. Topics of discussion will include:
Getting Started
• Making the decision of whether to build your own program in-house or buy an external product/solution
• Developing your risk profile
» Developing an understanding of the current state of affairs of your company: Finding out what risks already exist; and documenting the key company processes, systems, and transactions that need to be monitored
Data Collection and Integrity
• Accessing and capturing clean, high-value data across multiple data sources and competing systems
Senior Vice President - Risk, Analytics, Technology and Innovation Mastercard
Mihnea Rotariu
Director, Ethics & Compliance Monitoring, Assessments and Audits
Baxter
• Analyzing the data being captured accurately vs. inaccurately; what data is important; what data should be kept and what should be discarded
• Identifying data sources and deciding how to aggregate the data, ensuring good input and output, and deciphering data integrity
• Evaluating the internal and third-party data analytics tools that are available, and deciding which data feeds your organization can leverage
Data Governance and Monitoring
• Ensuring your data feeds and monitoring tools are coming in and working in real time
• Developing processes for utilizing risk scoring, assessing red flag reports, and determining what warrants internal investigations and further action
• Documenting follow-up and remedial actions within a dashboard platform
• Identifying impediments that limit access to relevant sources of data and understanding how to address them
9:20 Co-Chairs’ Opening Remarks
Tara Palesh
Senior Director, Compliance Analytics CoE Lead Pfizer
Aditya S. Yerramilli Lead, Global Compliance Controls & Monitoring Google
9:30 Fireside Chat and Q&A: The Latest DOJ Expectations for Data Driven Compliance and Monitoring In this opening session, gain critical insights on DOJ requirements and expectations. 10:15 Networking Break
Counsel, Compliance & Data Analytics
U.S. Department of Justice
Analytics “Journeys” – Part 1
10:30 Launching, Scaling and Adapting a Data Analytics Program: Companies Share What it Took to Implement an Effective Program from Start to Finish
Hear two companies’ first-hand journeys of building a successful data analytics program, including:
• Where the company started, how the program was scaled and how it evolved
• The decisions they made from beginning to end, and the considerations that went into their decision-making
• How they aligned their data analytics program with DOJ guidance
• How they secured the buy-in for resources from company leadership
• Where things could have gone wrong and how they navigated those landmines
Director of Analytics, Compliance & Ethics Microsoft
Vice President, Ethics and Compliance Albemarle
11:30 Effectively Using Data Analytics in Risk Detection and Response, and Compliance Program Testing
• Utilizing long-term data analytics to create a direct and accessible channel into your company’s transactional data
• Leveraging data analytics to monitor transactions over a continuous period of time, and flagging areas susceptible to fraud and corruption
• Concrete examples of using metrics and KPIs to evaluate risk detection and compliance red flags
• Which algorithms to use, who should review the data and how to review the data
• Determining which compliance metrics to measure, and comparing them to industry standards and benchmarks for improved predictability
• Assembling qualitative data-gathering tools—such as surveys and questionnaires—to encourage adaptability and accountability
• Leveraging data analytics to evaluate newly acquired entities, including rapid, targeted analyses of any problematic transactions, third parties or conflicts of interest
Bryan Judice
Vice President of Client Solutions
Kona AI
Omid Uskowi
Senior Director & Associate General Counsel,
Head of Legal Audits, Compliance Analytics & Compliance Investigations
Procter & Gamble
Karen Sgoutas
Senior Director, Compliance Analytics & Systems
Stryker
In this session, we will closely examine two recent enforcement actions in which the DOJ specifically noted the company’s use of data analytics or the incorporation of data analytics into their compliance regimes — SAP and ABB. Our panelists will provide a practical look at each of these cases and share key takeaways:
• How the companies’ data analytics programs played a role in their resolution and remediation
• The specific components of their data analytics programs that DOJ was most focused on
• Insights on what can help to earn credit and/or penalty reductions
• Lessons for communicating your data analytics “story” to enforcement authorities
Thomas Larsen
Head of Integrity Analytics ABB
• Understanding the latest ways that companies can use AI, ML and predictive analytics to inform, supplement and enhance their own internal compliance program
• Examining specific use cases for AI/ML in monitoring data, predicting behavior and finding corruption
• How to implement AI/ML for use in investigations and third-party transaction testing
• AI User Stories and Breakthroughs: Real life examples of how companies and financial institutions are successfully integrating AI into their businesses, due diligence and compliance operations 3:15 Networking Break
Partner, Chief Compliance Officer & Head of Enterprise Risk SoftBank
Tara Palesh Senior Director, Compliance Analytics CoE Lead Pfizer
Tune in for this panel as speakers share examples of unsuccessful attempts to implement data analytics programs. Hear about critical mistakes that were made in the early, middle and end-stages of the programs’ designs and rollouts — and walk away with a full understanding of what not to do when implementing a program.
See a leading anti-corruption transaction monitoring platform that has been cited by the SEC and has been before the DOJ in multiple FCPA matters. Learn more about how the software provides configurable risk algorithms driving aggregated risk scoring, supports monitoring workflows, visualizes your spend data for risk and incorporates AI.
In our concluding session, our expert panelists will share what they have found to be the biggest data analytics program pain points, and how they have gone about tackling and overcoming them. They will provide answers to questions, including:
• How do you ensure the continued effectiveness of the analytics program?
• What are the costs and resources needed for ongoing maintenance, and how can you accurately measure and relay the ROI of using data analytics for compliance purposes?
• How can you best train and support your team to effectively use, leverage and report on data analytics?
• How do you integrate analytics into the broader compliance framework?
Aditya S. Yerramilli
Lead, Global Compliance Controls & Monitoring
Keith Thomas
Lead Counsel, Corporate Integrity & Compliance
FedEx Corporation
Finally, join an invaluable opportunity for open Q&A and ask our expert panelists your most pressing questions. Attendees can also submit questions anonymously in advance via email to Townhall@AmericanConference.com.
5:30 Conference Concludes Networking Cocktail Reception
hands-helping
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U.S. Implications of the EU AI Act
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Whistleblower Programs vs. Compliance: How Can Companies Compete?
U.K. Parliament Giving Whistleblower Protections a Fresh Review
The Foreign Extortion Prevention Act: Much Ado About Nothing?
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