Certificate in Ethics and Compliance

The SMU CERTIFICATE IN ETHICS AND COMPLIANCE is a multi-disciplinary program designed for compliance, legal, and financial professionals. 

This program will strengthen your professional credentials and give you an immediate edge while you build your knowledge for higher levels of responsibility. The program represents an unprecedented collaboration within Southern Methodist University between the Cox School of Business, Dedman School of Law, and the Cary M. Maguire Center for Ethics and Public Responsibility. Beyond the cross-campus collaboration, Jones Day and Deloitte are also partnering with SMU on this program.

"In ten challenging sessions and an interactive case discussion, this dynamic course will help you understand how legal, compliance, internal audit, corporate security, and other functions across an enterprise can effectively collaborate to implement and maintain modern compliance programs," said Frank R. Lloyd, Ph.D., Associate Dean of Executive Education for the Cox School of Business.

Wednesday, February 21, 2018

Topic Planned Speakers
Welcoming Remarks Rita Kirk, Director of the SMU Maguire Center for Ethics and Public Responsibility
Why Effective Compliance Programs Matter Jason Varnado, Jones Day
Cindy Moehring, Senior Vice President, Chief Ethics and Compliance Officer for Walmart
Creating a Culture of Integrity Rita Kirk, SMU Maguire Center for Ethics & PR, Moderator 
Randall M. Ebner, GC, Exxon Mobil Corporation
Jack Lowe, Jr., former Chairman of the Board, TDIndustries
Enterprise Level Risk Management Holly Tucker, Deloitte Risk and Financial Advisory
Remarks Matthew Myers, Dean of the Edwin L. Cox School of Business
Luncheon Keynote Address David Huntley, Senior Vice President - Chief Compliance Officer, AT&T
An Inside Look at Insider Trading Marc I. Steinberg, Rupert and Lillian Radford Professor of Law, SMU Dedman School of Law
Managing an Internal Investigation Joshua S. Roseman, Jones Day
Holly Tucker, Deloitte Risk and Financial Advisory
Scott E. Sullivan, Chief Ethics & Compliance Officer, Flowserve Corporation
Sustainability and Compliance Marc Kesselman, General Counsel, Corporate Secretary & Government Affairs at Yum! Brands
David Woodcock, Jones Day
An Executive Dialogue on Board and Executive Management Oversight Miguel Quinones, O. Paul Corley Distinguished Chair in Organizational Behavior, SMU Cox School of Business
Billie Williamson, Independent Director at Pentair, CSRA, Energy Future Holdings, ITT Exelis, and Annie's Inc.
Networking Reception  

Thursday, February 22, 2018

Topic Planned Speakers
Welcoming Remarks Jennifer Collins, Dean of SMU Dedman School of Law
Effectively Dealing with Whistleblowers Sean McKessy, Phillips & Cohen (former Chief, SEC Office of the Whistleblower)
Eric F. Hinton, 7-Eleven, Chief Ethics & Compliance Officer, Moderator
Leveraging Tools and Technologies to Modernize Compliance Larry Kanter, SMU Cox School of Business
Case Discussion - A Letter from Prison Hemang Desai, Robert B. Cullum Professor of Accounting, SMU Cox School of Business

Approved for 9.00 hours of Texas CLE credit, including 2.75 hours of ethics credit


For more information on this program, contact Stephen B. Yeager, Assistant Dean for SMU Dedman School of Law, via email at syeager@smu.edu or call 214-768-4178.

Price: $1,495; Group discounts available when multiple attendees from the same organization attend together. To learn more about group discounts, or if you have any other questions, contact John Skinner at 214-768-7676 or JESKINNER@COX.SMU.EDU. For SMU Faculty and Staff discount, please contact us at 214-768-3335.

The Compliance Certification Board (CCB)® has approved this event for up to 12.9CCB CEUs. Continuing Education Units are awarded based on individual attendance records. Granting of prior approval in no way constitutes endorsement by CCB of this event content or of the event sponsor.

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