The Houston ACFE is happy to partner with Audimation Services to host a series of virtual seminars in lieu of our annual in-person conference.
Presentation 1: Innovation Meets Fraud
Speaker: James Rumph, CFE, CAMS, CPA, CIA, Enterprise Anti-Fraud Team, Nationwide Insurance, Columbus, OH
Description: A mature and innovative anti-fraud program can not only have significant impacts on fraud risk, but it can simultaneously enhance customer experience. As organizations across industries mature and innovate in fraud risk management, the importance for others to continue to mature becomes more and more important. This presentation focuses on driving an innovative mindset in fraud risk management activities using the five Committee of Sponsoring Organizations of the Treadway Commission’s (COSO) Fraud Risk Management Principles as guideposts: Fraud Risk Governance, Fraud Risk Assessment, Fraud Control Activity, Fraud Investigation and Corrective Action, and Fraud Risk Management Monitoring Activities.
Bio: Within Nationwide’s Enterprise Anti-Fraud Team, James Rumph has leadership and consulting responsibilities for fraud risk governance, risk assessment, control consulting and second line of defense monitoring across the enterprise. Rumph joined Nationwide at the beginning of 2016 with a wide range of financial crimes prevention, detection, and response training and experience, including from his time as both an FBI and private forensic accountant, and within an insurance special investigations unit (SIU). Rumph has a master’s of Accounting degree with a concentration in forensics, is serves on the ACFE Chapter Leader’s Committee, serves as President of the Central Ohio ACFE Chapter and on the Emerging Trends in Fraud Investigation & Prevention Conference Planning Committee, and previously served as President and Treasurer of the Des Moines ACFE Chapter.
Presentation 2: Confidential Reporting of Misconduct: A Cornerstone of Effective Ethics and Compliance Programs*
Speaker: Juliette Gust, CFE, Founder, Ethics Suite, Scottsdale, AZ
Description: The Department of Justice recently issued a third update to its Guidance on the Evaluation of Corporate Compliance Programs which states that a “hallmark of a well-designed compliance program is the existence of an efficient and trusted mechanism by which employees can anonymously or confidentially report allegations of a breach of the company’s code of conduct, company policies, or suspected or actual misconduct.” Furthermore, the Criminal Division of the U.S. Department of Justice and the Enforcement Division of the U.S. Securities and Exchange Commission also recently revised guidance regarding FCPA that states “The truest measure of an effective compliance program is how it responds to misconduct.” Organizations must take steps to prevent, detect and deter fraud, theft, and misconduct. Developing a comprehensive confidential reporting, investigation, and tracking program can mitigate losses and brand damage and serve as “lessons learned” to help prevent future, similar incidents.
Bio: Juliette Gust is the founder and president of Ethics Suite, a company that helps businesses identify, investigate and resolve alleged wrongdoing at their organization by providing a comprehensive solution for the anonymous employee reporting and tracking of workplace misconduct, fraud, or theft.
Ms. Gust has personally conducted or managed close to 2,000 investigations spanning 75 countries and has advised on more than 10,000 employee ethics line reports. She developed and was the Director of the Global Fraud & Investigations team for a Fortune 500 company with 180,000 employees in more than 100 countries. She also served as the Project Manager and a core member of the company’s Anti-Corruption compliance program, leading the development of a best-in-class global anti-corruption risk assessment and audit program.
Juliette's past experience includes being a manager and subject matter specialist within PwC’s Regulatory, Forensics, and Hospitality practices, where she led investigations and engagements in the U.S. and abroad on a variety of matters including anti-money laundering, corruption and bribery, embezzlement and financial statement fraud. She presented findings and recommendations before executive boards, federal and state regulatory agencies and audit committees in response to regulatory enforcement actions. Juliette has been a Certified Fraud Examiner since 2007.
- Learn the necessary requirements for satisfying the requirements of the Department of Justice's Corporate Compliance Programs
- Organizations must take steps to prevent, detect and deter fraud, theft, and misconduct
CPE Credits: 2 CPE Credits for CFE certification (meets Ethics requirement for CPE)
*not CPA or NASBA certified for Ethics
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Delivery Method: Group Live (Delivered online due to Covid-19)
Prerequisites: Not Applicable
Field of Study: Specialized Knowledge and Applications [Fraud]
Who Should Attend: Anti-fraud professionals, Auditors, Accountants, Attorneys, Investigators, Law Enforcement, Educators, Students
Advanced Preparation: None
Program Level: Basic
NASBA Sponsor No. 125230
The Houston Area Chapter of the Association of Certified Fraud Examiners is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have the final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.