View this slides from this exclusive webinar to learn how Convercent and Ethisphere takes a deeper dive into critical compliance challenges, insights and benchmarks, including key metrics that compliance officers share with others across the organization and what the key drivers are for best-in-class compliance programs.

1. Live Webinar
February 10, 2016
A SPECIAL WEBCAST FROM ETHISPHERE AND
COMPLIANCE STRATEGY
AND PERFORMANCE

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SPEAKERS
Patrick Quinlan
CEO
Convercent
Erica Salmon Byrne
Executive Vice President, Compliance &
Governance Services
Ethisphere
Agenda
Key Data &
Benchmarks
to leverage
Emerging Best
Practices
to adopt
Predictions for 2016
to keep a close eye on

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INFLUENCE & STRATEGY

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Budgets and visibilitytrendingupwards

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TREND ALERT
“
Whether the compliance officer reports to the general counsel or the
CEO is not going to govern an analysis of whether the compliance
function is working. What’s more important than where compliance
is housed is the independence of the function, that the compliance
officer has a ‘voice at the table’and can be heard by the board.”
—Andrew Weissmann
Chief, Fraud Section – Criminal Division
U.S. Department of Justice
16%
of surveyed CCOs report to the CEO, compared
to 36% of the World’s Most Ethical Companies.

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Compliancemore informed, but not influential

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Risk assessments, not strategy,driving compliancepriorities

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TREND ALERT
“Buyers splashedout $3.8 trillionon mergers
and acquisitions in 2015, the highest amount
ever.”
34%
of employees at
companies in M&A
situations experienced
retaliation—twice the rate
as more stable
workplaces.
27%
increase in observed
misconduct during
M&A transitions

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DATA & METRICS

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Lack of data availability, access and centralization

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TREND ALERT
“
Strong compliance must be data-driven. A good compliance officer
should be able to rattle off a list [of the types of data they would
monitor] off the top of their heads and their list will tell me the level
of their sophistication as a compliance professional. Similarly, when
I look at compliance programs, the kind of data that they do and do
not monitor tells me a lot abouthow sophisticated their program is.”
—Hui Chen
Compliance Expert, Fraud Section
Criminal Division
U.S. Department of Justice

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Compliancedrawing on other department data

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TREND ALERT
“
Every piece of your program needs to actually be tied to the
operations of your company. When you don’t tie those systems
together, it’s very easy to ignore the other system that’s not necessary
to make the transaction happen.”
—Hui Chen
Compliance Expert, Fraud Section
Criminal Division
U.S. Department of Justice

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ROI most desired—and elusive—metric

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TREND ALERT
“
Companies have searched for reasonable metrics to assess how likely
their employees are to follow their rules...But years into this quest, many
compliance experts are no closer to agreeing what exactly a culture of
compliance is or how to measure it.”

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PROGRAM REPORTING

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State of the programreports deliveredat least annually

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Report frequency, content, format and audiencevary

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TREND ALERT
“
A firm’s culture is a key driver behind the behavior of those in it. In
many cases, where things have gone wrong in a firm, a cultural issue
is at the heart of the problem.”
—UK Financial ConductAuthority
Compliance Culture—A Timeline of Regulators’Comments
WSJ

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TREND ALERT
“
The fact is that many of our internal processes, controls, and actions
around compliance have been inadequate, and some decisions have just
been plain wrong. As a result, [CEO Conrad] Parker has resigned. In
order for us to move forward as a company, we cannot seek to hide or
downplaythe problem. We must admit it and remediate it as soon as
possible.
—David Sacks
CEO, Zenefits
BusinessInsider

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InconsistentReportingPractices

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Q&A