January 2019 Fellows Meeting

/January 2019 Fellows Meeting

Leading the Ethics and Compliance Function

Leading the E&C function in an organization is no easy task.  Our January Fellows meeting is designed to inspire and inform you as Chief visionary, strategist, and manager of your function.  We’ll also explore ways that you can enhance your career and broaden your personal impact.

  • The Need to Lead
    • ECI Research:
      • Survey of CECOs (also helpful for marketing Fellows)
        • How did they get into the field
        • How did they land their role?
        • Personal perspective of leadership skills
        • What they wish they knew before they took the job
        • Intent to retire in the next 5 years
        • Advice they would give
      • GBES:
        • The importance of the E&C function in a biz.
        • Visibility/tone of E&C in an organization
        • Qualities of CECOs that employees admire/think well of
  • Leading the E&C function: what does success look like?
    • Building and sustaining an HQP
    • Strategic planning
  • What does a successful E&C function look like?
    • How much (and what) do you centralize vs. embedding E&C in the biz
    • Maintaining an E&C presence in global operations
  • Managing through VUCA
    • Mergers & Acquisitions
    • Leadership change
  • Making Yourself Essential\
  • Master Class – learning from the Marshall Awardees
  • Managing in all directions
    • Up (C-Suite)
    • Sideways (internal strategic partnerships)
    • Down (staff)
      • ECI member survey: E&C staff members’ perceptions of their CECOs
  • Planning Your Future
    • Leading a business function
    • Finding a board seat
    •  Contracts/compensation
  • Before you go: Succession Planning

January 9, 2019

8:30 am - 8:45 am


Patricia J. Harned, Ph.D.
Ethics & Compliance Initiative

Earnie Broughton
Ethics & Compliance Initiative

8:45 am - 9:45 am

The Need to Lead: What is Success?

Patricia J. Harned Ph.D.
Ethics & Compliance Initiative

What does it take to lead a high quality ethics & compliance program (HQP)? What can we learn from the findings of the Global Business Ethics Survey? Who are the CECOs of today? Join Dr. Patricia Harned as she highlights research from the ECI in response to some of these questions.

9:45 am - 10:30 am

The E&C Capability Study

Steve Guymon
Eli Lilly and Company

Matt Gilley Ph.D.
St. Mary’s University

Christopher Michaelson Ph.D.
University of St. Thomas

Joanne Bartley
Ernst & Young, LLP

What capabilities are necessary among those leading and working in a comprehensive ethics and compliance program? The ECI Fellows Capabilities Study Working Group developed and implemented a comprehensive survey to determine the current and likely future capabilities needs for successful programs. Learn about the purpose of the study, hear some preliminary results, and consider what it means for your high quality ethics & compliance program (HQP).

10:30 am - 10:50 am

Networking Break

10:50 am - 12:00 pm

Leading the E&C Function: A Strategic Approach

Facilitator: Bobby Kipp
Ethics & Compliance Initiative

Ron Carucci
Navalent Consulting & Ethical Systems

Jeff Oak
Bon Secours Mercy Health

Tentative: Michael McLaughlin

Stephanie Weissglas

Learn the key elements of strategy and how leaders in E&C can be relevant to the goals and objectives of the business while inspiring a high quality ethics & compliance program.

12:20 pm - 1:20 pm


1:20pm - 2:40 pm

Building influence (In All Directions)

Alisa Cohn
Executive Coach

An E&C program must reach out in all directions – Up to the C-Suite, across through internal strategic partnerships, and down throughout the workforce. This session will examine strategies that related to each audience.

3:00 pm - 4:15 pm

Managing E&C through VUCA

Neel Doshi
Co-author Primed to Perform & Vega Factor

VUCA – volatility, uncertainty, complexity and ambiguity. In a rapidly changing world, unexpected occurrences are common; from mergers & acquisitions to leadership transitions (planned and unplanned) to a changing global economy and political climate, how is a company to cope? How can an E&C executive develop and foster a high quality program and a culture of integrity?

4:15 pm - 5:30 pm

Master Class - Learning from Former Carol R. Marshall Award for Innovation in Corporate Ethics Recipients

Facilitator: Bobby Kipp
Ethics & Compliance Initiative

Nancy Higgins
Bechtel Corporation

Emmanuel Lulin

Raphael Richmond
Ford Motor Company

Carrie Penman
NAVEX Global

In January 2010, ECI established an award to recognize the outstanding accomplishments of a business executive in the ethics and compliance field The award is funded by the Northrop Grumman Corporation and honors the late Carol R. Marshall, one of the first CECOs of a global corporation. Join some of the past Marshall Award recipients for an interactive and insightful discussion.

5:30 pm - 8:00 pm

Reception & Dinner

January 10, 2019

7:45 am to 8:15 am

Continental Breakfast

8:15 am to 8:25 am

Continental Breakfast

8:15 am to 8:25 am

Getting Started

8:25 am - 8:45 am

ECI Working Group - Strategic Planning in E&C

Cally Swanson
US Bank

Terry Stringer

8:45 am - 9:45 am

Leading a Successful E&C Function

Facilitator: Earnie Broughton 
Ethics & Compliance Initiaitive

In this session, let’s take stock of what we have learned, share our insights, and develop practical strategies and tactics that will advance your E&C program.

9:45 am - 10:45 am

Life After E&C: Planning Your Future

Facilitator: Bobby Kipp
Ethics & Compliance Initiative

Patrick Gnazzo
Better Business Practices

Ellen Hunt

Dawn Marie Driscoll
Hoffman Center for Business Ethics

Learn from some colleagues who have made the leap. Topics will include:
– Leading a Business Function
– Finding a Board Seat
– Supporting a Monitor

10:45 am - 11:00 am

Refreshment Break

11:00 am - 12:15 pm

Before You Go: Succession Planning

Monique Connor
Pricewaterhouse Coopers

New career opportunities, retirement or unexpected events. There can be many reasons we leave a leadership position. Creating and managing a high quality ethics & compliance program (HQP) is challenging; but an even greater obstacle is developing the structure, staffing and organizational strategy that will keep that program moving forward once you are gone.

12:15 pm - 12:30 pm

Wrap-up, Conclusions, Adjourn


Gaylord National Resort & Convention Center

201 Waterfront Street, National Harbor, Maryland 20745


Mention the “ECI Fellows Meeting” to receive the discounted room rate. Please secure a hotel room before December 15, 2018.

See area maps and complete directions

Convenient to D.C., Maryland and Virginia

Gaylord National is just 15 minutes due south of Washington, D.C.—right off the Capital Beltway (I-95/I-495)—making it an easy drive from the surrounding Maryland and Virginia areas as well.

Registration is open to ECI Fellows only.

If you are interested in becoming an ECI Fellow and would like to discuss a complimentary pass to this event please contact Tia Berry (tia@ethics.org) for more information.