The Risk, Compliance & Finance Executive Summit on Solving the Compliance Dilemma

The Convene Midtown East, New York
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The Senior Executive’s Guide to Harmonizing the Goals and Objectives of a Cost Effective Compliance Program through Agile Risk Management, Enterprise-Wide Compliance & Fiscally Responsible Governance

The Convene Midtown East, New York

Spring, 2016   Add To Calendar


 As you may have recently seen, the Wharton Risk Management and Decision Process Center, Center for Leadership and Change Management and RANE Network recently all joined Knowledge@Wharton and Momentum as event partners on the Risk, Compliance & Finance Executive Summit.

Given the vast amount of thought leadership each partner could contribute to the summit, we have decided to reschedule the event to early 2016  in order to ensure that we have ample time to incorporate their ideas, content and valued perspectives into the summit’s agenda. We apologize if this date change has caused any inconvenience. Our primary goal is to ensure that nothing short of the highest quality of content and speakers are provided to our audience of executives, academics and thought leaders and we feel that this decision provides us with that opportunity.  

Official dates will be made available very soon. For any questions or concerns, please email Misha Shah, Marketing Director at

CLE, CPE and Ethics credits available.

Risk…compliance…finance – what do these three core business functions have in common? Each plays an instrumental role in today’s C-suite executive’s calculation of when and how a company will chart its path for growth.

Honing in specifically on risk and against the backdrop of heightened corporate pressure to drive revenues in less mature markets, the compliance challenges for companies operating across jurisdictions are becoming more and more complex. At a time when regulators are collaborating across borders like never before and as global markets, regulatory regimes, social and financial environments change, effective compliance management supporting growth and innovation is critical.

Benefit from this opportunity to join a distinguished group of your peers for this thought-provoking, new take on addressing the compliance dilemma as you strategize, brainstorm, connect and engage with senior-level corporate executives and business leaders responsible for legal affairs, risk – operational and enterprise-wide, finance, compliance, operations, communications, internal audit and IT. Gain various stakeholder perspectives from the Board to the C-Suite on how to best focus on program vs. operational effectiveness while balancing efficiency with your company’s corporate growth strategy.

Key topics and themes to be addressed at The Risk, Compliance & Finance Executive Summit will include:

  • Perspectives from the Top: Inside the Boardroom on Compliance Tone Setting, Expectations and Two-Way Communication
  • The Path to Effective Compliance – Viewpoints from a CEO and a CFO on How Their Respective Companies Charted the Course to Best in Class Compliance
  • Compliance – Business Calibration – How One Company Struck the Right Balance between Commercial and Compliance
  • Compliance Risk Assessments: Reverse Engineering Compliance Investment through the Proactive Identification of Your Greatest Risk
  • Building a “Right Size” Compliance Machine: From Program Development and Governance to Policies, Procedures and Training – How to Get Your Program to Where It Needs to Be
  • Understanding the Role Data and Metrics Can Play in Program Substantiation and Continuous Compliance Monitoring
  • Ownership and Co-Auditing – Identifying Who Should Be Responsible For Monitoring Risks and How These Risks Converge To Facilitate Co-Auditing
  • Communications – How Do You Communicate Effective Compliance To Interested Stakeholders?

About the Format:

 The Risk, Compliance & Finance Executive Summit on Solving the Compliance Dilemma will feature a variety of presentation types and formats including:

  • 5 Questions: Thought Leaders in Dialogue” – A moderated conversation during which two experts are each asked the same five questions about their respective areas of expertise
  • Conversation Starters” – Brief presentations by industry leaders designed to stimulate discussion and debate between the panelists and the audience
  • “One on One” – A non-moderated Q&A-style discussion between two speakers
  •  “Case Study” – Go behind the scenes as you explore a real-life set of facts that will provide a practical examination of a discrete issue, topic or challenge
  • “Roundtable Discussion” –  An informal discussion amongst the panelists, structured as a conversation addressing a key theme

Who Should Attend:

 This program has been crafted to address the current compliance dilemma faced by a broad range of senior-level corporate executives including –

  • Board and board-level committee members
  • C-suite executives and business leaders who have compliance responsibility for
    • Legal affairs, Risk – Operational and Enterprise-Wide, Finance, Operations, Communications, Internal Audit, IT

Please visit our website in two weeks for the most updated agenda.

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