This one day fraud symposium, sponsored by Baker Tilly’s Global Forensic and Fraud Investigations and Compliance Services Practice Group and hosted by the Institute of Internal Auditors, Philadelphia Chapter, will include topics such as:
- Current trends in white-collar crime
- Tone is the middle
- Policy management
- Case study on a local fraud
“Symposium Coordinator, Host, and Moderator”
Jonathan is the firm leader of the global fraud and forensic investigations and compliance practice. He has more than 30 years of experience working closely with his clients, their board, senior management and law firms on global and cross-border fraud and misconduct investigations, including bribery, corruption and compliance matters. He is a well-regarded author and speaker, who has gained international recognition for developing thought leadership that has enhanced the profession.
Niki A. den Nieuwenboer, Assistant Professor of Organizational Behavior and Business Ethics, The University of Kansas School of Business
“Tone in the Middle”
We know that leadership matters in fostering ethical conduct at work. However, the focus is often on top level managers and their “tone at the top.” The role of middle managers has remained somewhat of a mystery until now. Niki den Nieuwenboer will discuss her recent study that examined a case where middle managers, in response to upper management pressures, coerced front-line employees to deceive upper management about their performance. She will spotlight the creative role that middle managers played in finding ways to cheat, and discuss implications for ethics management and fraud prevention.
“Mapping Ethical Risk in Your Organization”
The new DOJ guidance on effective compliance programs is full of requirements to assess risk and manage the compliance program through a risk-based method. Culture is also of importance, and ensuring a culture of compliance is emphasized in the guidance. Having a compliance risk methodology that incorporates compliance, ethics, and culture to identify areas of risk is key to ensuring limited resources get directed to the right place.
Michael Rasmussen, The GRC Pundit & Analyst, GRC 20/20 Research, LLC
“Effective Policy Management”
Policies & procedures must be in place to safeguard and educate staff, to protect the organization against unnecessary risk, ensure the consistent operation of the business, uphold ethical values of the organization, and to defend the organization should it land in turbulent legal waters.
However, effectively managing policies is easier said than done. Ad hoc or passive approaches mean that key policies are out-dated, scattered across the business, and not consistent– resulting in confusion for recipients; and an insufficient level of governance and reporting for auditors and regulators.
It is no longer enough to simply make policies available. Organizations need to guarantee receipt, affirmation AND understanding of policies across the business.
To consistently manage and communicate policies, organizations are turning toward defined processes and technologies to manage the Policy lifecycle. The continual growth of regulatory requirements, complex business operations, and global expansion demand a well thought-out and implemented approach to policy management.
Attendees will be guided through a discussion on how to implement an effective policy management process within their organization.
More speakers to come! Check back regularly for additional speakers and for registration information.
Location Exelon Hall – Just enter the building lobby at 23rd and Market Street and follow the signs down the stairs to Exelon Hall. No building access is needed for access to the hall.
Continuing Professional Education Credits – The Philadelphia Chapter of the Institute of Internal Auditors is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.
*Speakers and Topics may change due to a variety of factors. We will do our best to adhere to the agenda.