* Credible and Effective Compliance Risk Assessments
On Demand

* Credible and Effective Compliance Risk Assessments


Practice Areas:
Regulatory Compliance
Faculty:
Josh Wallenstein |  John Sardar |  Alberto Orozco
Course Levels:
Intermediate
Duration:
1 hour
Format:
Audio and Video
Original Program Date :
Sep 20, 2018


Course Description


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Course Description

Learn how to conduct comprehensive and credible Compliance Risk Assessments.

Compliance risk assessments can sensitize companies to material risks (so that they can be mitigated, minimized, or managed).  This course brings together experienced outside and in-house counsel as they advise on how to (i) justify a risk assessment, (ii) appropriately staff, scope and schedule, (iii) develop a risk inventory, (iv) conduct the exercise, and (v) expertly manage material violations that may be unearthed in the process.

Course Learning Objectives:

At the end of this session, participants will be able to:

  • Justify (and understand the purpose of) a Compliance Risk Assessment
  • Appropriately staff, scope and schedule a Compliance Risk Assessment
  • Develop a comprehensive Risk Inventory
  • Conduct an effective Compliance Risk Assessment
  • Understand how to expertly manage the discovery of a material violation

Topics and Agenda

  1. Mins. 1-10: Definition / Explanation
  2. Mins. 11-20: Purpose
  3. Mins. 21-30: Staffing and Scoping
  4. Mins. 31-40: Frequency 
  5. Mins. 41-50: Risk Inventory Development
  6. Mins. 51-60: If a Material Violation Were Discovered...

CLE Credits

Mandatory CLE Credit

This program may be eligible for a total of 1 CLE credit(s) in a 60 minute state of which 0  are Ethics credits.

This program may be eligible for a total of 1.2 CLE credit(s) in a 50 minute state of which 0  are Ethics credits.

 

STATES THAT MCLE CREDIT HAS BEEN APPROVED 


California

This course has been approved for 1 MCLE General Credit(s) in California of which 0 are Legal Ethics, 0 are Elimination of Bias in the Legal Profession, 0 are Prevention, Detection and Treatment of Substance Abuse/Mental Illness that Impairs Professional Competence.


Illinois

This course has been approved for 1 MCLE General Credit(s) in Illinois of which 0 credit(s) qualifies for Professional Responsibility credit.


Pennsylvania

Select Counsel is an approved provider in the State of Pennsylvania. This course has been approved for 1 CLE Credit(s) in Pennsylvania of which 0 credit(s) qualifies for Ethics credit.


Texas

This course has been approved for 1 MCLE Credit(s) in Texas of which 0 credit(s) qualifies for Ethics credit.


States Pending Approval

The following states are pending approval.


Ohio

An application for MCLE credit is pending in Ohio.


Washington

An application for MCLE credit is pending in Washington.


Other MCLE Jurisdictions

Reciprocal States: The following jurisdictions allow reciprocity for courses approved in other MCLE jurisdictions:Alaska, Arkansas, Colorado, Florida, Montana, New Jersey, New York, North Dakota, and Oregon.

Self Reporting States: States that allow an attorney to apply or self-report CLE credit are: Alabama, Delaware, Hawaii, Idaho, Indiana, Iowa, Kentucky, Louisiana, Maine, Minnesota, Mississippi, Nebraska, Nevada, New Hampshire, New Mexico, North Carolina, Oklahoma, Oregon, Rhode Island, South Carolina, Tennessee, Utah, West Virginia, Wisconsin and Wyoming.


Course Materials

Faculty

Josh Wallenstein Related seminars and products: 2

Managing Member

Wallenstein Law Group


Josh Wallenstein is an accomplished attorney and compliance expert.  He is also the Managing Member of The Wallenstein Law Group, a boutique practice specializing in legal and compliance issues.
 
Mr. Wallenstein offers his clients practical, no-nonsense solutions to a wide variety of compliance concerns.  He delivers cost-effective advice developed from his almost 15 years of legal, compliance, and risk management experience.  
 
In-House Counsel:  includes regional and global postings in Mexico City, Dubai, and various US cities.  His most recent in-house position was as Chief Compliance Officer for a public international company in Houston, Texas (USA).  As a result, Mr. Wallenstein’s counsel is tempered with a unique cultural and linguistic sensitivity that ensures optimal effectiveness.  
 
Outside Counsel:  includes engagements across the globe in a variety of industry sectors.  Recent examples include acting (i) as the Compliance Expert relating to a World Bank debarment and (ii) as interim compliance officer during an extended deferred prosecution agreement from the U.S. Department of Justice.  Because of the breadth and depth of his experience, Mr. Wallenstein is the counsel of choice for complex international matters.  
 
Mr. Wallenstein is a member of the Texas, New York, and District of Columbia bars.  He holds a J.D. from Stanford Law School and a B. A. from Southern Methodist University; he is a published author and frequent public speaker on ethics and compliance-related issues.
 
Mr. Wallenstein speaks English, Spanish and Portuguese.
 

PRACTICE FOCUS: Compliance | Risk Management
LAW SCHOOL: Stanford University
LOCATION: Houston


John Sardar Related seminars and products: 1

Chief Compliance Officer

Noble Energy


John is the Chief Compliance Officer for Noble Energy, Inc. (”Noble Energy”).  Noble Energy is a publicly traded, leading independent energy company engaged in worldwide oil and gas exploration and production.  In his role, he oversees all aspects of Noble Energy’s ethics and compliance program globally, and is responsible for implementation and management of the company’s ethics and compliance policies, procedures and guidelines. 

John has legal experience in both private and in-house practice, and working for the U.S. government.  Prior to joining Noble Energy, he was Director, Ethics & Legal Compliance with Baker Hughes Inc., a Fortune 300 provider of oil field products and services to the worldwide oil and gas industry.  He previously also worked as Deputy Compliance Officer & Counsel–Litigation with St. Louis-based Charter Communications, Inc.  Before that in private practice, he worked with Bryan Cave LLP, an international law firm headquartered in St. Louis, Missouri with over 1,100 lawyers worldwide. John’s governmental experience includes service as a Special Assistant United States Attorney during 1999-2000 with the office of the Special Counsel John C. Danforth to investigate the Federal Bureau of Investigation’s role in the 1993 siege and subsequent raid on the Branch Davidian compound in Waco, Texas.

John earned a bachelor’s degree in Economics from California State University at Long Beach, and a law degree from St. Louis University, and is member of the Missouri Bar.  John is a frequent speaker at domestic and international conferences addressing legal and regulatory compliance and other international trade law issues.  He was named to Ethisphere Institute’s 2016 list of “Attorneys Who Matter” in ethics and compliance.

 


Alberto Orozco Related seminars and products: 1

Partner

PwC


Alberto Orozco is a Partner in the Houston Forensic Services Practice of PwC. Alberto has almost two decades of experience providing financial consulting, assurance and business advisory services to clients in various industries, including Oil and Gas, Telecommunications, Automotive, Technology and Hospitality. Alberto leads the Latin America practice of PwC in Houston and has leaded major international engagements supervising various teams around the world.


Alberto provides financial advisory services to clients, including assessment and implementation of compliance programs, assessment of financial and monitoring controls, performing fraud and corruption risk assessments, anti-bribery and anti-corruption (ABAC) due diligence reviews, ABAC compliance reviews, as well as conducting investigations of allegations of illegal activities related to the Foreign Corrupt Practices Act (FCPA), fraudulent financial reporting, asset misappropriation, procurement practices, vendor fraud, and conflict of interest.


Alberto’s deep experience and understanding of Latin America's culture, customs, practices and risks have been invaluable when advising his clients on potential opportunities and challenges. Alberto is regularly called upon to advise corporations seeking guidance and assistance due to his passion for forensics work and continuous pursuit of building better bridges between Latin America and those seeking to do business in the region.


Alberto’s main focus is assisting companies doing business in Latin America; however, his work experience expands world wide. Alberto has assisted clients on matters in the following countries: Mexico, Ecuador, Costa Rica, Paraguay, Bolivia, Peru, Dominican Republic, Colombia, Venezuela, Argentina, Brazil, Spain, Turkey, Russia, South Africa, Ivory Coast, Ghana, and Mozambique. 


Alberto has also assisted clients in performing Anti-corruption agent vetting due diligence on potential targets with operations in Latin America, Europe, the Middle East, Asia and Africa. 


MCLE Information for On-Demand

MCLE Information for On-Demand Seminars

General Information

Please note that Select Counsel delivers multiple on-demand courses. Please view a specific course program’s description page or marketing materials for information indicating the jurisdictions a specific program is eligible for credit.

Accreditation Information

Select Counsel applies for credit for most of it's on-demand seminars the following states:

  • Georgia
  • Illinois
  • Ohio
  • Texas
  • Washington

Select Counsel is an approved accredited provider for in the states of California and Pennsylvania.  CLE credit is available for all Select Counsel courses. 

Please refer to the CLE credit tab to determine which states are approved and those that are pending.


Select Counsel does not seek direct accreditation in AL, AK, AZ, CO, CT, DE, FL, GU, HI, IN, IA, ID,  KY, LA, MN, NE, ME, MO, MP, MS, MT, NH, NJ, NM, NY, NV, NC, ND, OK, OR,  PR, RI, SC, TN, UT, VI, VA, VT, WI, WV and WY.  However, if there is a high demand for a particular state during the registration process, Select Counsel will consider submitting an application for accreditation in that state. Meanwhile, most states allow for Course Approval Reciprocity or Attorney Submitted Applications for Accreditation.  Please see details below.


Course Approval Reciprocity

The following states allow attorneys to earn CLE credit through reciprocity from a course or course provider that meets the basic requirements for approval in that state.  States that allow reciprocity for courses approved in other jurisdictions are listed below.  Click any of the states  below for rules and regulations regarding reciprocity in that  below state.


Self-Reporting/Accreditation States

Select Counsel has not submitted applications in the states listed below.  Many states allow attorneys to submit a course for approval and/or self-report their attendance to the their MCLE Board if it has not been submitted by the sponsor of the course. Currently attorneys who participate in a Select Counsel course who want CLE for the states listed below need to apply/report directly with that state. However, if there is a high demand for a particular state during the registration process, Select Counsel will consider submitting an application for accreditation in that state.

  • Alabama
  • Delaware
  • Georgia (for some select counsel programs, see the CLE Credit tab for additional information)
  • Hawaii
  • Idaho
  • Indiana
  • Iowa
  • Kentucky
  • Louisiana
  • Minnesota
  • Mississippi
  • Nebraska
  • Nevada
  • New Hampshire
  • New Mexico
  • North Carolina
  • Oklahoma
  • Oregon
  • Rhode Island
  • South Carolina
  • Tennessee
  • Utah
  • West Virginia
  • Wyoming

At this time, Kansas requires the sponsor of all non-traditional format courses to submit the program application. (Kansas will not accept an application from an individual lawyer).

 

Please note that some states have accreditation fees. In addition, some states may not approve specific programs, formats, or topics for credit. This list is a general guide only. Specific information about your state accreditation requirements can be found on your state's regulator page. For contact state regulator contact information please visit the Continuing Legal Education Regulators Association at www.clereg.org


Certificates of Attendance and Tracking

For each on-demand seminar, Select Counsel will be tracking your attendance through participation codes that pop up during the presentation. Instructions on how to use these participation codes, along with information about how to retrieve your credit will be provided to you prior, during and after the completion of the program.

 

Upon completion of the course you will receive a either a state specific certificate of attendance for the courses that Select Counsel applied for or a Uniform Certificate of Attendance for states that have reciprocity or are self applying/reporting states.  

 

State by State reporting instructions will be included with each certificate of attendance. You will receive this information via email, as well as in a handout that can be accessed before, during and after the course in your customer account.

Participation Reporting

Select Counsel only applies for course approval in the following states: CA, IL, OH, TX, and WA and is an accredited provider in PA.  Select Counsel will report attendance in any of the above states (e.g. PA) that require the provider to report attendance.  For states that allow course approval reciprocity and/or that attorneys are self-reporting/applying, Select Counsel will guide you to the appropriate forms and governing bodies. All information about reporting credit to your state will be provided as a hand out prior, during and after the completion of the course.

A Note About MCLE Credit

The content on this page is for informational and educational purposes only. Each state has its own rules and regulations indicating what qualifies for CLE credit. Certain programs, subjects, and formats may not receive credit in some states and there may be specific rules regarding who may earn credit or the maximum number of credit hours that may be earned with specific formats.  Please contact your state MCLE regulatory entity for specific questions about your MCLE rules. For contact information, go to www.clereg.org

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