ACI’s 5th Practical Guide to FCPA Data Analytics - WEB

ACI’s Practical Guide to

FCPA

Data Analytics

FIRESIDE CHAT AND Q&A WITH DOJ

CONFERENCE CO-CHAIRS

December 3, 2024

Matt Galvin Counsel, Compliance & Data Analytics U.S. Department of Justice

Gaylord National Resort & Convention Center Washington, DC AmericanConference.com/FCPA-DA

Earn CPE CREDITS

DON’T MISS THE PRE-CONFERENCE PRIMER (included in your registration!)

Building Your Data Analytics Blueprint: The Fundamentals of Data Collection, Integrity, Governance and Monitoring

Aditya S. Yerramilli Senior Manager - Risk, Compliance & Governance Google

Tara Palesh Senior Director, Compliance Analytics CoE Lead Pfizer

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GOVERNMENT SPEAKER Matt Galvin Counsel, Compliance & Data Analytics U.S. Department of Justice

EXPERT SPEAKER FACULTY INCLUDES: Sidney Bashago Partner Davis Polk & Wardwell LLP

Andy Miller Chief Analytics Officer Lextegrity

Roberta Paoloni Vice President, Ethics and Compliance Albemarle

Bryan Judice Vice President of Client Solutions Kona AI

Fiona Moran Partner Davis Polk & Wardwell LLP

Joe Kaczorowski Senior Vice President - Risk, Analytics, Technology and Innovation Mastercard

Zachary Opperman Director, Operational Risk Capital One

Mihnea Rotariu Director, Ethics & Compliance Monitoring, Assessments and Audits Baxter

Michael Koenig Global Chief Ethics and Compliance Officer JBS

Tara Palesh Senior Director, Compliance Analytics CoE Lead Pfizer

Thomas Larsen Head of Integrity Analytics ABB

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 Senior Manager Risk, Compliance & Governance Google

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December 3, 2024 7:30

Registration and Continental Breakfast

8:00

PRE-CONFERENCE PRIMER

Building Your Data Analytics Blueprint: The Fundamentals of Data Collection, Integrity, Governance and Monitoring 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

Joe Kaczorowski Senior Vice President - Risk, Analytics, Technology and Innovation Mastercard Mihnea Rotariu Director, Ethics & Compliance Monitoring, Assessments and Audits Baxter

Data Collection and Integrity • Accessing and capturing clean, high-value data across multiple data sources and competing systems • 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

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Co-Chairs’ Opening Remarks Tara Palesh Senior Director, Compliance Analytics CoE Lead Pfizer

Aditya S. Yerramilli Senior Manager - Risk, Compliance & Governance 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

Matt Galvin Counsel, Compliance & Data Analytics U.S. Department of Justice

Interviewed By: Fiona Moran Partner Davis Polk & Wardwell LLP

Networking Break

Data 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

Hyojin Helena Song Director of Analytics, Compliance & Ethics Microsoft Roberta Paoloni Vice President, Ethics and Compliance Albemarle

• Where things could have gone wrong and how they navigated those landmines

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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

12:15

Data-Driven Compliance in Action: Leveraging an Intuitive End-to-End Monitoring Platform to Identify Regulatory and Compliance Risk Signals

12:30

Networking Luncheon

1:30

Strengthening Your Data Analytics Program Using Takeaways from a Recent Enforcement Action: Lessons from the ABB Case

In this session, we will closely examine a recent enforcement action in which the DOJ specifically noted the company’s use of data analytics or the incorporation of data analytics into their compliance regimes — ABB. Tune in as ABB’s Head of Integrity Analytics provides a practical look at the case and shared key takeaways, including: • 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

Thomas Larsen Head of Integrity Analytics ABB Interviewed By: Sidney Bashago Partner Davis Polk & Wardwell LLP

• Lessons for communicating your data analytics “story” to enforcement authorities

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Spotlight on AI and ML 2:00

The Latest Best Practices for Leveraging AI, ML and Predictive Analytics for FCPA Investigations and Compliance

• 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

Tara Palesh Senior Director, Compliance Analytics CoE Lead Pfizer

Andy Miller Chief Analytics Officer Lextegrity

• 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

Data Analytics “Journeys” – Part 2 3:30

Data Analytics Programs Gone Wrong: First-Hand Accounts of Program Failures and Critical Lessons on What Not to Do

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.

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Michael Koenig Global Chief Ethics and Compliance Officer JBS

Keith Thomas Lead Counsel, Corporate Integrity & Compliance FedEx Corporation

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Real-Time Platform Demonstration: Compliance Monitoring with Analytics & AI

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.

4:45

Data Analytics Town Hall: Open Q&A and More Real-Life Takeaways to Bring Back to Your Desk

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?

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

Zachary Opperman Director, Operational Risk Capital One Keith Thomas Lead Counsel, Corporate Integrity & Compliance FedEx Corporation Moderator: Aditya S. Yerramilli Senior Manager - Risk, Compliance & Governance Google

Conference Concludes Networking Cocktail Reception

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konaAI delivers leading anti-corruption and compliance monitoring analytics. With over $700 billion transactions processed for Fortune 500 customers, we help prevent and detect global fraud and corruption risks in line with regulatory expectations.

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