Corporate Compliance Certificate Program

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

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.