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Third-Party Risk Management & Oversight Summit
December 7-8, 2022
A Virtual Event

Agenda

Wednesday - December 7, 2022

10:00 AM 10:10 AM

9:00 AM 9:10 AM

8:00 AM 8:10 AM

7:00 AM 7:10 AM

4:00 PM 4:10 PM

Chairperson Welcome Remarks

Ellen Hunt, Principal Consultant and Advisor 

Spark Compliance Consulting  

Adjunct Professor 

Fordham University School of Law

10:10 AM 10:55 AM

9:10 AM 9:55 AM

8:10 AM 8:55 AM

7:10 AM 7:55 AM

4:10 PM 4:55 PM

Keynote Address: Third Party Risk Management: What’s Next?

  • Evaluate how to improve your third-party relationships and get everybody on board
  • Identify best practices to align interests and build trust
  • Enable risk visibility across your software supply chain
  • Build your future state roadmap
  • Understand ESG and third-party risk
  • Evaluate sanctions, UBOs, and country risk landscape

 

Linda Tuck Chapman, CEO

Third Party Risk Institute

11:05 AM 11:50 AM

10:05 AM 10:50 AM

9:05 AM 9:50 AM

8:05 AM 8:50 AM

5:05 PM 5:50 PM

Experts Panel Discussion: Top Regulatory Trends Impacting Third Party Risk Management

Moderator:
Stephanie Font, Director, Operations and Optimization Group 

Dilligent 

 

Panelists:

Vera Powell, Counsel

King & Spalding LLP

 

Charles Duross, Partner

Morrison & Foerster LLP

 

Michael Pacella, VP, Global Chief Ethics and Compliance Officer 

Covetrus 

12:00 PM 12:45 PM

11:00 AM 11:45 AM

10:00 AM 10:45 AM

9:00 AM 9:45 AM

6:00 PM 6:45 PM

Deep Dive into Third-Party Relationships to Identify 4th and Nth Parties

  • Identify and understand your third-party dependencies and uncover Fourth-Party Risks
  • Operationalize third party risk controls in the procurement and supply chain teams
  • Learn how to mitigate fourth-party risk during contracting
  • Evaluate how to prioritize ongoing monitoring and better allocation of resources for your high risk and critical third parties
  • Compare best practices on contract provisions related to fourth party risk such as compliance documentation, audit reporting, and quarterly business reviews

 

Moderator:

Steve Naughton, Director of Regulatory Compliance Studies

Loyola University Chicago Law School

 

Panelists:

Sandeep Bhide, Vice President of Product Management 

ProcessUnity 

 

Jessica Sanderson, Partner 

The Volkov Law Group 

12:45 PM 1:15 PM

11:45 AM 12:15 PM

10:45 AM 11:15 AM

9:45 AM 10:15 AM

6:45 PM 7:15 PM

Lunch Break

1:15 PM 2:00 PM

12:15 PM 1:00 PM

11:15 AM 12:00 PM

10:15 AM 11:00 AM

7:15 PM 8:00 PM

Impacts of the Great Resignation, Quiet Quitting and Worker Migration on TPRM

  • Discuss how Great Resignation is affecting TPRM and what does it mean in terms of service delivery
  • Understand the risk of your suppliers' suppliers and manage the threats posed by these parties
  • Learn best practices to acquire and retain the right talent
  • Evaluate how “quiet quitting” is affecting your compliance training

 

Rodney Campbell, Director, Third-Party/Vendor Management

Valley National Bank

 

Paul Kurtz, Director of Third Party Risk Management 

MerchantE 

2:10 PM 2:55 PM

1:10 PM 1:55 PM

12:10 PM 12:55 PM

11:10 AM 11:55 AM

8:10 PM 8:55 PM

Enterprise-Wide Governance Risk and Control Structure

  • Discuss how the risk function should be structured in an organization and learn best practices into who updates third party data, conducts audits, and oversees contractual relationships with third parties
  • Define process to keep your board informed and engaged on significant or critical third-party activity
  • Establish alignment between third-party risk management and operational risk management to further enhance and improve your organization controls

 

William Nelson, Associate General Counsel

Investment Advisor Association

 

Kristy Grant-Hart, Founder 

Spark Compliance 

 

Colleen Milazzo, Senior Vice President  

SharedAssessments 

3:05 PM 3:50 PM

2:05 PM 2:50 PM

1:05 PM 1:50 PM

12:05 PM 12:50 PM

9:05 PM 9:50 PM

Control the Controllable: Targeting Risks Owners and First Line of Defense

  • Delineate the roles and responsibilities of your first line of defense
  • Learn how to map processes and create operational efficiency with the individuals that need to be involved and engaged
  • Hear how to define criticality within your organization
  • Identify best practices on training and what to emphasize on vendor selection, contract management, on boarding, ongoing monitoring, and off boarding

 

John Pawloski, Senior Vice President, Global Chief Ethics and Compliance Officer 

Assurant 

 

Vishal Thakkar, Acting Chief Risk Officer

OCC

  

Melanie Gallagher, Head of Third Party Risk Management

Intuit

3:50 PM 4:00 PM

2:50 PM 3:00 PM

1:50 PM 2:00 PM

12:50 PM 1:00 PM

9:50 PM 10:00 PM

Closing Remarks and Day One Takeaways

Ellen Hunt, Principal Consultant and Advisor 

Spark Compliance Consulting  

Adjunct Professor 

Fordham University School of Law

Thursday - December 8, 2022

10:00 AM 10:10 AM

9:00 AM 9:10 AM

8:00 AM 8:10 AM

7:00 AM 7:10 AM

4:00 PM 4:10 PM

Chairperson Welcome Remarks

Ellen Hunt, Principal Consultant and Advisor 

Spark Compliance Consulting  

Adjunct Professor 

Fordham University School of Law

10:10 AM 10:55 AM

9:10 AM 9:55 AM

8:10 AM 8:55 AM

7:10 AM 7:55 AM

4:10 PM 4:55 PM

Appropriate Due Diligence: Not One-Size-Fits-All

  • Compare how companies screen and risk-rank their third parties into high, medium, and low risk categories and conduct the appropriate due diligence
  • Evaluate an enhanced due diligence for high-risk third parties and minimize the threat
  • Learn how to educate your third parties on how to adopt a risk-based approach to due diligence when including a fourth or fifth party
  • Hear how heavy regulated and non-regulated sectors go through sanctions lists and other compliance checks for Politically Exposed Persons (PEPs), Anti-Money Laundering (AML), modern slavery, and keep up with latest changes

 

Samira Duijnmayer, Regulatory & Financial Crime Officer

Booking.com

 

Rodney Campbell, Director, Third-Party/Vendor Management

Valley National Bank

 

Kristy Grant-Hart, Founder 

Spark Compliance 

11:05 AM 11:50 AM

10:05 AM 10:50 AM

9:05 AM 9:50 AM

8:05 AM 8:50 AM

5:05 PM 5:50 PM

Navigating the Global and Domestic Sanctions Landscape

  • Evaluate the ongoing challenges companies that operate in multiple jurisdictions face at keeping up with sanctions increase around the world
  • Identify best practices on effective sanction screening
  • Consider potential exposure to sanctioned parties and sanctioned activities and enhance your compliance program
  • Compare compliance measures in place to prevent sanctions violations

 

Nancy Jacobson, Counsel, Global Compliance and Ethics 

United Airlines 

 

Stephanie Cripps, Counsel 

Freshfields Bruckhaus Deringer 

 

Izak Rosenfeld, Associate General Counsel 

Access Now 

12:00 PM 12:45 PM

11:00 AM 11:45 AM

10:00 AM 10:45 AM

9:00 AM 9:45 AM

6:00 PM 6:45 PM

Using Data Analytics to Identify Third Party Risks

  • Learn best practices on how to manage big amounts of TP data when resources scarce
  • Address how all your data sources can communicate and connect and remediate red flags on time
  • Discuss the creation and use of templates that helps standardize third party management across different industries
  • Hear how transaction monitoring helps you analyze data to spot potential money laundering activities

 

Moderator:

Michael Rickman, BLCSS and Retired VP of Compliance and Ethics

Goodyear 

 

Panelists:

NS Rao, IR Principal 

Workiva 

 

Ali Ikram, Chief Operating Officer for the Office of Ethics and Compliance  

SAP 

 

12:45 PM 1:15 PM

11:45 AM 12:15 PM

10:45 AM 11:15 AM

9:45 AM 10:15 AM

6:45 PM 7:15 PM

Lunch Break

1:15 PM 2:00 PM

12:15 PM 1:00 PM

11:15 AM 12:00 PM

10:15 AM 11:00 AM

7:15 PM 8:00 PM

Whose Data Is It Anyway?: Data Privacy and Security

  • Understand latest updates on the global privacy landscape and regulators developments
  • Hear lessons learnedprivacy professionals’ efforts to govern data in third party environments, including mergers and acquisitions 
  • Identify best practices to protect data through onboarding and offboarding processes
  • Gain an overview on how your TPRM programs can shield from cyber attacks

 

Moderator

Lindsay Koren, Senior Vice President, Division General Counsel, Ethics and Compliance 

Darden 

 

Panelists 

Josh Bryant, Senior Data Privacy Analyst Data Governance & IP3  

J.B. Hunt 

 

Qamar Herd, Data Privacy Engineer 

J.B. Hunt 

 

Scott Garland, Managing Director, Sanctions, Cyber, Fraud, and Ethics Compliance & Monitoring 

Affiliated Monitors 

2:10 PM 2:55 PM

1:10 PM 1:55 PM

12:10 PM 12:55 PM

11:10 AM 11:55 AM

8:10 PM 8:55 PM

Antibribery and Corruption and Anti Money Laundering Issues Overview

  • Describe third-party risk scoring and due diligence protocols that identifies, investigates, and remediates potential bribery and corruption risks
  • Identify if your KYC processes are working properly and assess customer risk to identify and mitigate any financial crime risk
  • Hear how to educate your internal stakeholders and business partners so they don’t indulge in unethical practices
  • Learn how to deploy a robust ABC AML compliance program in emerging markets and weight between an enhanced due diligence or choosing a stablished vendor when there is not enough data available

 

Moderator:

Phil Palmer, Ethics and Compliance Programme Manager

Shell UK 

 

Panelists:

Frederick Ratliff, Managing Counsel ABC AML

Shell USA

 

Preeti Wadhawan, Regional Head of Compliance - India, APAC & MEA

Orbia

3:05 PM 3:50 PM

2:05 PM 2:50 PM

1:05 PM 1:50 PM

12:05 PM 12:50 PM

9:05 PM 9:50 PM

Human Rights Are Not Just an “ESG Factor”

  • Examine how organizations are implementing ESG initiatives in their TPRM program that permeates in all their ecosystem of risk, including vendors and vendors’ critical vendors
  • Discuss responsible business and ESG and communicate the human rights expectations to all your business partners
  • Evaluate the compliance challenges of the enforcement of the Uyghur Forced Labor Law that prohibits importing goods to the United States that are made with forced labor
  • Learn how the Model Contract Clauses can help implement human rights policies and improve human rights in your supply chain

 

Olivia Windham Stewart, Deputy Director, BHR Law Program

Center for Corporate Law and Governance, Rutgers Law School

 

Gwendolyn Hassan, JD, CCEP Chief Compliance Officer, Adjunct Professor

Loyola University Chicago School of Law

3:50 PM 4:00 PM

2:50 PM 3:00 PM

1:50 PM 2:00 PM

12:50 PM 1:00 PM

9:50 PM 10:00 PM

Closing Remarks

Ellen Hunt, Principal Consultant and Advisor 

Spark Compliance Consulting  

Adjunct Professor 

Fordham University School of Law