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Ethics & Compliance Initiative

Organizer

Ethics & Compliance Initiative
Email
events@ethics.org
Website
https://www.ethics.org
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Speakers

  • Ellen Hunt
    Ellen Hunt
    SVP - Audit, Ethics & Compliance Officer, AARP

    Ellen is a lawyer, ethics & compliance professional, and chief audit executive. She has extensive management experience in designing, implementing and operating ethics and compliance programs including board governance and reporting, designing ethics education, creating policy management frameworks, managing enterprise and compliance risk processes as well as handling investigations and regulatory inquiries.
    Utilizing AARP’s enterprise risk management profile, she re-designed how AARP conducts its annual audit planning process to identify audits that relate to the organization’s must significant risks and incorporated the use of data analytics into audit execution.

  • Joe Pugh
    Joe Pugh
    Enterprise Risk Management (ERM) & Compliance Director, AARP

    Joe Pugh is the Enterprise Risk Management (ERM) & Compliance Director at AARP, the nation’s largest nonprofit, nonpartisan organization dedicated to empowering people 50 and older to choose how they live as they age.

    Joe built, matured and has focused on making the AARP ERM program strategic. Joe was the architect of the ERM framework and established an ERM governance cadence that provides risk informed information to executives, the Board of Directors and key decision makers at all levels of the organization. Under Joe’s leadership, the organization has become more risk savvy and able to understand the enterprise risks “to” and “of” strategic priorities, as well as the capability to act quickly when risk exposures change. Joe regularly delivers ERM reporting to executive management, the Board of Directors and its Committees.

    In addition, Joe assists the organization with developing and executing various strategies designed to promote a strong ethical culture and ensure compliance with applicable laws and regulations.

    Before joining AARP, Joe was responsible for the day-to-day risk management and compliance for a mutual fund company, where he held FINRA Series 6 and 26 licenses.

    Joe has an MBA from Marymount University. He is a RIMS Certified Risk Management Professional (RIMS-CRMP) as well as having the Certification in Risk Management Assurance (CRMA™) designation through the Institute of Internal Auditors.

    Any opinions expressed by Joe are solely his own and are not made on behalf of AARP.

Local Time

  • Timezone: America/New_York
  • Date: Feb 27 2020
  • Time: 14:00 - 15:30

Location

Washington D.C., DC, USA
Washington D.C., DC, USA

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Date

Feb 27 2020

Time

2:00 pm - 3:30 pm

Best Practice Forum

An all-new way to participate, engage and learn from today’s leading thinkers, subject-matter experts and experienced practitioners. This Best Practice Forum, Chit Chat – Creating a Code of Conduct Chat-bot. takes place in Washington, D.C. This session will explore how Ethics & Compliance Programs need to not just benchmark against each other but against other common industry benchmarks like customer satisfaction and net promoter scores. A chat-bot for the Code of Conduct treats the customer in the way they have are treated by other services, i.e., if gives them the information that they want, when they want it.

Ellen Hunt, SVP – Audit, Ethics & Compliance Officer and Joe Pugh, Enterprise Risk Management (ERM) & Compliance Director from AARP will bring their expert knowledge to share the best practices they use to build effective E&C programs that can help you achieve success as an E&C leader.

To allow as many E&C practitioners to share in the Best Practice Forum experience as possible, we’ve re-invented the way in which these events are delivered. New in 2020, all Best Practice Forums can be attended either in-person by up to 60 attendees on a first-come, first-served basis, viewed in real-time or on-demand via our livestream platform from your office or home.

All Best Practice Forums qualify for CEU and CLE credit upon completion. Register today!

This Best Practice Forum is Sponsored by:

This Best Practice Forum can be attended in-person at:

ASAE Conference Center

1575 I St NW, Washington, DC 20005

February 27 | 2:00* – 3:30 p.m.

*In-person registration begins at 1 p.m.

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Hourly Schedule

February 27, 2020

1:00 PM - 2:00 PM
Registration
This is ONLY for those attending in-person. This is on a first come first serve basis. Please be sure to indicate you will attend in-person when you register.
2:00 PM - 2:10 PM
Welcome
2:10 PM - 3:10 PM
Presentation
Speakers:
Ellen Hunt, Joe Pugh
3:10 PM - 3:30 PM
Q&A
3:30 -
Closing remarks
Ellen Hunt
Ellen Hunt
SVP - Audit, Ethics & Compliance Officer, AARP
Ellen is a lawyer, ethics & compliance professional, and chief audit executive. She has extensive management experience in designing, implementing and operating ethics and compliance programs including board governance and reporting, designing ethics education, creating policy management frameworks, managing enterprise and compliance risk processes as well as handling investigations and regulatory inquiries. Utilizing AARP's enterprise risk management profile, she re-designed how AARP conducts its annual audit planning process to identify audits that relate to the organization's must significant risks and incorporated the use of data analytics into audit execution.
Joe Pugh
Joe Pugh
Enterprise Risk Management (ERM) & Compliance Director, AARP
Joe Pugh is the Enterprise Risk Management (ERM) & Compliance Director at AARP, the nation’s largest nonprofit, nonpartisan organization dedicated to empowering people 50 and older to choose how they live as they age. Joe built, matured and has focused on making the AARP ERM program strategic. Joe was the architect of the ERM framework and established an ERM governance cadence that provides risk informed information to executives, the Board of Directors and key decision makers at all levels of the organization. Under Joe’s leadership, the organization has become more risk savvy and able to understand the enterprise risks “to” and “of” strategic priorities, as well as the capability to act quickly when risk exposures change. Joe regularly delivers ERM reporting to executive management, the Board of Directors and its Committees. In addition, Joe assists the organization with developing and executing various strategies designed to promote a strong ethical culture and ensure compliance with applicable laws and regulations. Before joining AARP, Joe was responsible for the day-to-day risk management and compliance for a mutual fund company, where he held FINRA Series 6 and 26 licenses. Joe has an MBA from Marymount University. He is a RIMS Certified Risk Management Professional (RIMS-CRMP) as well as having the Certification in Risk Management Assurance (CRMA™) designation through the Institute of Internal Auditors. Any opinions expressed by Joe are solely his own and are not made on behalf of AARP.