Compliance Seminar Details
Welcome and review of the days agenda — What You Need to Know About the Certification Exam — Discussion: Seminar Expectations and Steps to Compliance Officer Certification
Session 1: Linda Robertson — Why a Culture of Compliance?
Session 2: Linda Robertson, SPHR - ADCO — Introduction to the Components of a Compliance Program
Session 3: Randy Henrick, JD - Consultant, Ignite Consulting Partners — High-level Oversight & Compliance Officer Role — Board of Directors Oversight — Delegating Authority / Controls of Authority — Compliance Officer Responsibilities
Session 4: Linda Robertson, SPHR - ADCO — Standards of Conduct / Policies & Procedures — Code of Business Conduct and Values & Ethics — Compliance Policies — Delegation of Authority
Session 5: Judy Vann Karstadt, MPFS, DCOP - President, JV Solutions — Communication & Education — Employee Orientation & Training for All Staff — What Constitutes Effective Training — Effective Lines of Communication — Creating a Compliance Communication Plan — A Culture of Positive Reinforcement
Welcome and review of days agenda
Session 6: Terry O'Loughlin, JD, MBA - Director of Compliance, Reynolds Document Solutions — Business Administration & Accounting — Monitoring & Auditing / Identification of Compliance Risks — Review Internal Compliance Reporting Venues — Risk Assessment & Prioritization — Internal Audit and GAP Analysis — Discussion: Risk Assessments, Auditing & Monitoring
Session 7: Melinda Levy, JD - Principal, Levy Law — Reporting & Investigation — Review Compliance Reporting — Investigation — Process to Comply with Government Investigation
Session 8: Marcia N. Jackson, JD - Wicks Phillips — Enforcement & Discipline — Consistent Enforcement & Discipline for Violations — Enforcement, Discipline & Documentation — Consistent Reinforcement
Session 9: Randy Henrick, JD - Auto Dealer Compliance — Response & Prevention — Newly Identified Compliance Risks — Root Cause — Lessons Learned
Session 10: Linda Robertson, SPHR - ADCO — Case Study on Bronx Honda
Session 11: Eric Johnson, JD - Hudson Cook, LLP — Vehicle Financing — Customer Communication
Session 12: Eric Johnson, JD - Hudson Cook, LLP — Marketing — Sales
Session 13: Marica Nelson Jackson, JD - Wick Phillips — General Human Resources Regulations
Session 14: Terry O'Loughlin, JD, MBA - Director of Compliance, Reynolds Document Solutions — Business Administration and Accounting
Session 15: EJ Shelby - ComplyNet — OSHA — Environmental Health & Safety Training Module
Session 16: Stephanie Licata, MA, ACC - VP of Exec. Coaching Practice, Purpose and Performance Group — Leveraging Leadership Tendences That Cause Results
Linda Robertson, SPHR - ADCO Closing Comments
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