January 2021 Fellows Meeting
All-Virtual Event | January 13-14, 2021
Fellows meetings are not just another conference. These high-level meetings rely heavily on face-to-face engagement, conversation between practitioners and group discussion to provide the most benefit to you. ECI’s Fellows Meetings are exclusive gatherings of Fellows Members that happen twice per year. At Fellows meetings, you will have the opportunity to participate in high-level discussions, exclusive keynote presentations and hands-on breakout sessions that are all designed to help you achieve your goals as a senior-level E&C leader.
Fellows participants are a global group of high-level E&C Directors, Chief Ethics & Compliance Officers, other C-Suite leaders and esteemed academics that are all familiar with the challenges you face as an E&C leader and eager to share their stories, strategies and challenges with others.
The 2021 January Fellows Meeting will be an all-virtual event — information about the platform and how to access the event will be sent in your registration confirmation email.
ERM & E&C: Challenges and Opportunities
Ethics and compliance and risk management are critical business competencies and will become even more so in the future. In addition, leaders of these functions are increasingly engaging and collaborating with each other. The January 2021 Fellows meeting will explore the convergence and on-going evolution of these two important areas in conversation with global thought leaders in risk management, ethics and compliance, governance and organizational culture.
On Day 1 we will gain insight into “next generation” enterprise risk management (ERM), the role of COSO and OCEG as frameworks that inform risk management, explore the intersection between ethics and compliance and ERM, and examine legal considerations in relation to E&C risk management.
On Day 2 we will take a deep dive into the relationship between values and risk in the context of culture and reflect on what we are learning from COVID in relation to how we evaluate risk in organizations. We will end with a deep conversation about the role ECI and the ECI Fellows Program might play in contributing to the future state and practice of E&C risk management as a key competency of High Quality E&C programs.
Senior Fellows members receive 3 complimentary registrations and Fellows members receive 2 complimentary registrations to Fellows Meetings.
All times are ET
| 11:00 AM | Welcome |
| 11:30 AM | Next Generation ERM James Lam, President, James Lam & Associates |
| 12:45 PM | Evolution of ERM, Ethics and Governance Frameworks Paul J. Sobel, Chairman, COSO Carol Switzer, President, OCEG |
| 2:00 PM | Break |
| 2:30 PM | Conversations at the Intersection of E&C and Risk Management Melissa S. Barnes, Senior Vice President-Enterprise Risk Management and Chief Ethics and Compliance Officer, Eli Lilly and Company James Lam, President, James Lam & Associates Kimberly Otte, Chief Risk Officer, Mayo Clinic Rochester |
| 3:45 PM | Legal Perspectives Tracey Gilliam, Managing Director, Global Litigation, Investigations, and Compliance, WeWork Ryan McConnell, Partner, McConnell and Associates Rick Robinson, Partner, Reed Smith |
| 5:00 PM | Wrap Up |
| 5:30 PM | Virtual Happy Hour & Networking |
All times are ET
| 1:00 PM | Welcome & Housekeeping |
| 1:15 PM | Values at Risk Anette Mikes, Associate Professor of Accounting Saïd Business School, University of Oxford |
| 2:30 PM | Break |
| 2:45 PM | COVID: How Did We Miss It and What Have We Learned? Kelly Sauders, Partner, Deloitte & Touche LLP |
| 3:45 PM | Conversation Cafe: Reflections and Applications |
| 4:30 PM | Wrap Up |
Speakers
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James C. LamPresidenet, James Lam & AssociatesJames C. Lam is the president of James Lam & Associates, a boutique consulting firm focused singularly on ERM. James is widely recognized as the first-ever CRO and early advocate of ERM. He is an independent director of RiskLens, Inc., where he is Chair of the Audit Committee. Between 2012 and 2020, Lam served as a board director of E*TRADE Financial, where he is Chair of the Risk Oversight Committee and a member of the Audit Committee.
Previously he served as founder and president of ERisk, partner and global ERM practice leader at Oliver Wyman, and chief risk officer of Fidelity Investments. Mr. Lam was named to the NACD Directorship 100 in 2017 and 2018, Directors & Boards “Diversity Directors to Watch,” Treasury & Risk “100 Most Influential People in Finance” three times, and GARP inaugural “Risk Manager of the Year.” He is a best-selling author of three ERM books published by Wiley. Mr. Lam is certified by the Software Engineering Institute of Carnegie Mellon in Cybersecurity Oversight. -
Kimberly OtteChief Risk Officer, Mayo Clinic RochesterKim Otte, JD, MA, is Mayo Clinic’s Chief Risk Officer. The purpose of the Risk Management Office is to make risks visible and debatable for the organization. The risk function includes Compliance, ERM, physical security, and internal audit.
Kim started her career at Mayo Clinic in 2002 as a lawyer in the Legal Department, focusing on regulatory issues including Medicare, privacy, and fraud and abuse. In 2012 she moved to the Integrity and Compliance Office as the Chief Compliance Officer.
Prior to joining Mayo Clinic, Kim worked for a large HMO in their legal and public policy department and as a health lawyer in private practice. Kim has been an adjunct professor of Health Law and Bioethics at the University of MN, William Mitchell and Hamline. Kim holds a JD from the University of MN and a Masters in Philosophy from the University of MN, with areas of expertise in biomedical ethics.
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Melissa Stapleton BarnesSenior VP, Enterprise Risk Management, and CECO, Eli Lilly and CompanyMelissa Stapleton Barnes is senior vice president, enterprise risk management, and chief ethics and compliance officer for Eli Lilly and Company. She leads Lilly’s global Ethics and Compliance function.
Melissa joined Lilly in 1994 and took her current role in 2013. She has held a variety of business and legal roles including general counsel for Lilly Diabetes and Lilly Oncology. Prior to her current role, she was deputy general counsel, responsible for overseeing all global litigation and investigations as well as managing the corporate secretary’s office and specialty legal functions. She earned a Bachelor of Science degree with highest distinction from Purdue University and a law degree from Harvard Law School. In 2016, Purdue University honored Melissa with the College of Liberal Arts Distinguished Alumni Award, and she currently serves on the Purdue Liberal Arts Dean’s Advisory Council.
The Ethisphere Institute recognized Melissa as an Attorney Who Matters in 2015 and 2016. The Healthcare Businesswomen’s Association named her a Rising Star in 2012, and the Indianapolis Business Journal honored her as a Woman of Influence in 2017. In 2018, the Ethics and Compliance Initiative gave Melissa the Carol R. Marshall Award for innovation in corporate ethics.
She serves on the board of directors for Algonquin Power and Utilities Corporation, headquartered in Toronto, and is immediate past chair of the Ethics and Business Integrity Committee for the International Federation of Pharmaceutical Manufacturers & Associations. Locally, Melissa volunteers as a board member of the Great American Songbook Foundation and The Center for Performing Arts. Nationally, Melissa serves on the board of directors of the Ethics Research Center and is a Fellow with the Ethics and Compliance Initiative.
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Paul J. SobelChairman, Committee of Sponsoring Organizations of the Treadway Commission (COSO)Paul Sobel, CIA, QIAL, CRMA, is the Chairman of the Committee of Sponsoring Organizations of the Treadway Commission (COSO). He recently retired from Georgia-Pacific, LLC where he served as Vice President/Chief Risk Officer and CAE for this privately-owned forest and consumer products company based in Atlanta, GA. He has authored or co-authored four books: Managing Risk in Uncertain Times; Auditor’s Risk Management Guide: Integrating Auditing and ERM; Internal Auditing: Assurance and Advisory Services; and Enterprise Risk Management: Achieving and Sustaining Success. Paul was The IIA’s Chairman of the Board in 2013-2014, and has served in other IIA leadership roles. In 2012, he was recognized in Treasury & Risk Magazine’s list of 100 Most Influential People in Finance. In 2017, he received The IIA’s Bradford Cadmus Memorial Award and was inducted into The IIA’s American Hall of Distinguished Audit Practitioners, and in 2020 he received the IIA’s Victor Z. Brink Award.
