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The Roles and Responsibilities of a Corporate Compliance Officer This webinar will define the roles and responsibilities of the Corporate Compliance Officer and will highlight the challenges for this importance position. In addition, a compliance toolkit, that you can use, will be presented. Description

Why Should You Attend: Why is the position of a Corporate Compliance Officer important? What are the key roles and responsibilities of this position? How is it evolving? The Corporate Compliance Officer holds a critical role. His/her responsibilities often include leading enterprise compliance efforts, establishing standards, designing and implementing internal controls, policies and procedures to assure compliance with applicable local, state and federal laws and regulations; managing audits and investigations into regulatory and compliance issues; identifying, preventing, detecting and correcting noncompliance and responding to requests for information from regulatory bodies. This webinar will define the roles and responsibilities of the Corporate Compliance Officer and will highlight the challenges of this importance position. Areas Covered in the Seminar: Introduction to Corporate Compliance. The Changing Regulatory Landscape. The Roles and Responsibilities of the Corporate Compliance Officer. About Governance, Compliance, and Risk (GRC). The Compliance Toolkit. Questions and Discussion. Who Will Benefit: Senior Management Human Resources Financial Officers Risk Officers Internal Auditors Operational Risk Managers Staff with roles and responsibilities in operational risk in risk management departments, businesses and central departments. Instructor Profile: Chris Doxey, MBA, CAPP, CCSA, CICA, has held senior finance and controller positions at Digital Equipment Corporation, Compaq Computer Corporation, Hewlett Packard, MCI, APEX Analytix, and BSI

Healthcare. She has a bachelor's degree in English, a bachelor's in accounting, a master's in business administration, and a graduate certificate in project management. Chris is a Certified Accounts Payable Professional (CAPP), holds a Certification in Controls Self Assessment (CSA), and is a Certified Internal Controls Auditor (CICA). She had recently joined the Advisory Board of the Institute of Internal Controls (TheIIC), she chairs the Chapter Advisory Board for the Institute of Financial Operations, and she is president of the Washington DC area chapter of the Institute of Financial Operations. Chris is currently developing a certification program for controllers for the IOFM. She is also compiling a controller’s best practices report and toolkit. Chris has written numerous articles and published two handbooks: AP Leadership Skills and Implementing a Controls Self Assessment Program for Accounts Payable. Chris presents at several conferences and provides a multitude of webinars each year. Topic Background: In the document “Corporate Compliance Principles, developed by the National Center for Preventive Law, a compliance program encompasses the set of operational methods that a company uses to ensure its activities adhere to legal requirements and broader company values. Designing effective compliance programs is an important corporate concern for two reasons. First, public harm and corporate injuries potentially resulting from corporate offenses and deviations from company values justify careful management of offense and misconduct risks. Second, under a number of recently developed legal standards -- most notably the Federal Sentencing Guidelines for Organizations, firms with generally effective compliance programs can often significantly reduce or eliminate penalties for offenses that occur despite these programs. In recent years, both federal and state governments have increased enforcement activities as they relate to corporate conduct and compliance. Publicly traded companies and businesses that operate pursuant to a license, permit, statutory scheme or government regulatory approval find themselves subject to higher governmental expectations. Corporations that compete in industries of high government interest, such as health care and financial services, are particularly at risk and are increasingly targeted in both civil and criminal proceedings. Compliance requirements differ across industries, and processes which means the Corporate Compliance Officer must be familiar with the compliance requirements that impact his or her company.

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