Corporate Compliance Certificate Program

Spring 2023
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A Roadmap for Compliance Leaders

The William & Mary Law School Corporate Compliance Certificate Program provides an in-depth understanding of the complex compliance issues common across industries and organizations of all sizes.  Participants enhance their ability to foster, as well as lead innovative, holistic compliance programs aligned with DOJ Guidance designed to both protect their organization and advance its strategic goals.   

The non-credit program offers advanced level, contextualized instruction designed to enable compliance practitioners to deploy a diverse array of analytic tools to assess regulatory issues and identify, evaluate and implement risk management solutions in an ever-changing business and legal landscape. 

Who Should Attend?

The program is particularly well-suited for mid/high level managers within corporate compliance functions seeking leading-edge skills to embed compliance functions with increased visibility, accountability and efficiency within their organization to create a strategic advantage. 

Continuing Legal Education (CLE) Credits

CLE credits will be available for lawyers completing the program.

Curriculum

Compliance as a Competitive Business Advantage

This best-in-class program features renowned faculty and expert compliance officers who are experienced in handling today’s real-world challenges. The curriculum includes case studies, simulations as well as artificial intelligence and machine learning applications drawn from contemporary corporate and government practice.

Spring 2023 Program Information
 
Module 1:
The Compliance Landscape

Topics
  • Statutory/regulatory/case law review 

  • DOJs guidance/corporate compliance programs “pillars” 
  • US/Global compliance developments/anti-corruption trends 
  • Data analytics/artificial intelligence resources 
  • Lessons learned from compliance failures 
  • Emerging Trends Iimportance to resiliency and reputation 
Module 2:
Compliance Strategy and Integration into Organizational Culture

 

Topics
  • Compliance Frameworks 
  • Committee of Sponsoring Organizations of the Treadway Commission (COSO) Framework – recognized definitive standard for internal controls against which organizations will be measured 
  • Compliance policy and program creation/training/monitoring 
  • Mandated compliance monitoring program overview/lessons learned 
  • Behavioral science impact on corporate training/culture/values ethos 
  • Communication and crisis management 
  • Chief Compliance Officer’s qualifications/responsibilities/obligations 
  • Strategic planning 
  • Cross-functional nature 
Module 3:
Internal Investigation and Risk Identification

Topics
  • Internal investigation, enforcement/progressive discipline and remediation strategies 
  • Risk identification, evaluation, and management 
  • Hotline assimilation and whistleblower protections 
  • Role of Ombudsman 
Module 4:
Third-Party Management and Supply Chain Risk

 

Topics
  • Third-party due diligence/management 
  • Supply chain risk assessment/mitigation 
Module 5: 
Information Technology, Data Privacy, and Cybersecurity
 
Topics
  • Data privacy and cybersecurity precautions 
  • Cyber risk assessment and mitigation 
Module 6: 
Putting it All Together

Topics
  • Leadership and project management training 
  • “Tabletop” planning/management training 
  • Program benchmarking strategies 
  • Program self-evaluation tools 
  • Auditing/evaluation/reporting 
  • Competitive advantage 
  • Continuous improvement/feedback loop 
  • When to ask for expert help – how to find experts, list of law firms in field 
  • Decision points list
Spring 2023 Experts
 
Crystal Jezierski, Senior Managing Director, Guidepost

​​Crystal R. Jezierski assists organizations with the design and implementation of global compliance programs; remediation during government enforcement actions; risk assessments; compliance program operations, management, and oversight; compliance training; and conducting internal investigations. She was most recently with the US Chamber of Commerce where she advised on legal and compliance risks including Board of Directors and organizational governance; federal, state, and local campaign finance and lobbying; data privacy; and congressional oversight.

Ms. Jezierski is a compliance expert and former compliance executive with 25 years of government and private sector experience. including time as associate general counsel, assistant secretary for the US Chamber of Commerce, senior vice president for Global Ethics at Walmart, a partner with the global law firm Baker McKenzie and as chief counsel for Oversight and Investigations with the Judiciary Committee of the US House of Representatives.

Dr. Tracy Johnson-Hall, clinical associate professor in Operations and Information Systems Management at the Raymond A. Mason School of Business at the William & Mary

Dr. Tracy Johnson-Hall is a clinical associate professor in Operations and Information Systems Management at the Raymond A. Mason School of Business at William & Mary.  Dr. Johnson-Hall received her Ph.D. in Management from Clemson University, a MBA from the Pennsylvania State University, and a BE in Civil and Environmental Engineering from Vanderbilt University.  

Her research has focused on the effect of policy, firm strategy and supply chain factors on product recall performance as well as consumer perceptions of product recalls and quality failures.  Her current work addresses her food supply chain sustainability and food security, as well as the long term profitability impacts of food product recalls on publically traded firms.

While at Clemson University, Professor Johnson-Hall was awarded a graduate student teaching award (2011), and the 2011 Juran Fellowship from the Joseph M. Juran Center for Leadership in Quality research.  She has received the Mason School’s Thomas & Teri Dungan Fellowship for excellence and innovation in undergraduate teaching (2015), and the Part-Time MBA Teaching Excellence award (2018).  Professor Johnson-Hall teaches operations and supply chain management, predictive analytics, and Lean/Six Sigma.

Prior to pursuing a doctorate in management, Professor Johnson-Hall worked in various capacities in manufacturing, consulting, and environmental management, including 10 years of experience in pharmaceutical manufacturing at Merck & Co., Inc.

Brian Shea, Head of Legal and Corporate Secretary at Oncorus, Inc.

Brian Shea currently serves as Head of Legal and Corporate Secretary at Oncorus, Inc. (Nasdaq: ONCR), a Boston-based biopharmaceutical company focused on developing next-generation, RNA-based immunotherapies to treat cancer patients. Brian oversees the company's legal and compliance function, with particular expertise in public company reporting obligations, stock exchange compliance, strategic transactions (financing and business development) and corporate governance matters relevant to the life sciences industry.  Prior to joining Oncorus, Brian practiced in the strategic transactions group at Ropes & Gray, representing late-stage private and public companies and investment banks in going-public transactions, strategic financings and securities law compliance, primarily in the biotechnology sector. Prior to that, Brian was a corporate associate at Mintz. Brian holds a B.A. from Dartmouth College and a J.D. cum laude from William & Mary Law School, and currently serves on the William & Mary Law School Alumni Association Board of Directors.

Mike Grable, Vice President and Chief Sustainability, Compliance, and Risk Officer for Oncor Electric Delivery Company, LLC

Mike Grable is Vice President and Chief Sustainability, Compliance, and Risk Officer for Oncor Electric Delivery Company, LLC, the largest electric delivery utility in Texas. His prior roles include President of NextEra Energy, Inc.'s Lone Star Transmission, LLC; General Counsel for the Electric Reliability Council of Texas, Inc.; and Advisor to Commissioner Barry T. Smitherman of the Public Utility Commission of Texas. Mike received his BA from Duke University and JD from the College of William & Mary School of Law, where he served as an executive editor on the William & Mary Law Review and received the Lawrence W. I'Anson Prize as the graduating student with the most professional promise. He is an alumnus of Leadership Austin and an elected fellow of the Texas Bar Foundation.

Format

The Corporate Compliance Certificate Program is a 6-week program designed for the working professional. The hybrid learning format combines six online sessions bookended by two required networking days. Both networking experiences will be available in-person and virtually. The first will take place in Williamsburg, VA, and the final session will be in Washington, D.C. 

The networking sessions will enable real-time conversations, relationship-building, and hybrid live instruction from leading compliance practitioners. Attendees will also participate in small group discussions and peer-to-peer learning.

Estimated Time Commitment
  • 1 day kickoff in Williamsburg, VA (In-person or virtual)
  • 1 day wrap-up in Washington, D.C. (In-person or virtual)
  • 4 to 6 hours online synchronous and asynchronous activity per week for 6 weeks
  • Total time commitment: ~40 hours
Travel & Accommodations

Williamsburg and William & Mary

Washington, D.C.

Please note that all registrants will be responsible for travel and accommodations for the in-person events.

Program Details

Dates:

  • Residency Experience 1: March 16

  • Sessions 1–6: March 22 – April 26

  • Residency Experience 2: May 3

Locations:

  • Residency Experience 1:
    • In-person experience at William & Mary Law School in Williamsburg, VA
    • Also available virtually
  • Sessions 1–6: 100% Online
  • Residency Experience 2:
    • In-person experience at the William & Mary Washington Center in Washington, D.C.
    • Also available virtually
Tuition

$5,250

Program fee includes all sessions, networking opportunities, suggested readings, and all course material.

REGISTRATION DEADLINE

March 2, 2023

Contact

Please contact Amy King, Associate Dean of Online and Executive Education, at [[w|lawexec]] with any questions. 

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