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 May 16, 2017

Chapter Event
5/16/2017 7:45 AM
5/16/2017 4:00 PM
Marcum LLP | Pennsylvania

"Operationalizing Compliance"
This seminar is open to CAE's and CCO's

Registration Closed
No onsite registrations accepted
​CPE Credits​ 8​
Date​ Tuesday, May 16, 2017
Marcum LLP - Boardroom
1600 Market Street, Floor 32
Philadelphia, PA 19103
Registration and Continental Breakfast: 7:45 am - 8:15 am
Program: 8:15am - 4:00 pm (Lunch will be Served)

No Charge

Event Summary

The Operationalization Class provides a unique opportunity for any level of compliance practitioner, from the seasoned Chief Compliance Officer (CCO, CECO), the practitioner who is new to the compliance profession, or the CAE that has a significant role in compliance. If you are looking for a training class to turbocharge your knowledge on the nuts and bolts of a compliance program going forward, this is the class for you to attend. Moreover, you will have an intensive focus group of like-minded practitioners with which you can share leading practices. 

The Operationalization Class will move from the theory of the FCPA into the operationalization of compliance and how you must document this work to create a leading  practices compliance program. Using the 2017 Evaluation of Corporate Compliance Programs Guidance as a foundation, you will learn the intricacies of risk assessments; what should be included in your policies and procedures; the five-step life cycle of third party risk evaluation and management; tone or conduct throughout your organization; internal investigations, and sitting across the table from the government.

Learning Outcomes​
  • What are the leading practices of an operationalized compliance program;
  • Why internal controls are the compliance practitioners best friend;
  • How you can use transaction monitoring to not only make your compliance program more robust but as a self-funding mechanism;
  • The new global anti-corruption enforcement paradigm;
  • Internal investigations and;
  • Negotiating with the government

You will be able to walk away from the Operationalization Class with a clear understanding of how to operationalize a compliance program; an overview of international corruption initiatives and how they all relate to FCPA compliance, if it applies to you; how to deal with third parties, from initial introduction through contracting and managing the relationship, internal investigations, negotiating with the government, and trends in compliance. You will also learn about the importance of internal controls and how to meet the strict liability burden present around this requirement of FCPA compliance. 

Space is limited to the first 25 people that register

Discussion Led By
Tom Fox, Compliance Evangelist and Expert

Tom Fox is  one of the leading commentators in the FCPA compliance space.  He will bring a unique insight of what many companies have done right and many have done not so well over the years. This professional experience has enabled him to put together a unique educational opportunity for any person interested in compliance. Simply stated, there is no other training on the market quite like it. Armed with this information, at the conclusion of the Operationalization Class, you will be able to implement or enhance your compliance program, with many ideas at no cost.

Level of Knowledge​ Basic
Recommended CPE Credit(s)​ 8
Prerequisite & Advance Preparation​ None
Method of Presentation​ Group Live
Recommended Category of Eligibility​  Professional Ethics
Registration Closes​ May 12, 2017
All attendee registrations must be made via our registration page. 
For more information contact our Meeting Manager at

Cancellation Policy
Although this is a free event, we ask that you let us know if you cannot make it.

The Institute of Internal Auditors, Philadelphia Chapter #108897, is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education of 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: