Assessing Effective Compliance

March 24 and 25, 2022

To access the full agenda for the Assessing Effective Compliance conference, please click here. 

Keynote speakers include: 

Kenneth A. Polite, Jr., Assistant Attorney General, Criminal Division, U.S. Department of Justice

Kenneth A. Polite, Jr. serves as the Assistant Attorney General for the Criminal Division. He supervises more than 600 federal prosecutors who conduct investigations and prosecutions involving gang violence, securities fraud, health care fraud, the Foreign Corrupt Practices Act, corruption, cybercrime, money laundering, child exploitation, narcotics trafficking, human rights violations, and other crimes, as well as matters involving international affairs and sensitive law enforcement techniques.

Mr. Polite served as the United States Attorney for the Eastern District of Louisiana from 2013 to 2017. As the chief federal law enforcement officer for Southeast Louisiana, he supervised the work of more than fifty Assistant U.S. Attorneys and was responsible for all criminal and civil matters in which the federal government was involved.

In April 2015, Attorney General Loretta Lynch appointed Mr. Polite to serve on the Attorney General’s Advisory Committee (AGAC). The AGAC provides advice and counsel to the Attorney General and other senior Department leaders. He also served as a member of the AGAC Subcommittees on Violent and Organized Crime, White Collar Crime, and Civil Rights, as well as the Smart on Crime Working Group. Mr. Polite began his public service career as an Assistant U.S. Attorney in the Southern District of New York.

Prior to his confirmation, Mr. Polite served as a partner in the Philadelphia office of a large international law firm. Before that, he served as Vice President and Chief Compliance Officer for a Fortune 500 company in New Orleans, where he led the Ethics and Compliance Department.

Mr. Polite clerked for the Honorable Thomas L. Ambro of the United States Court of Appeals for the Third Circuit. He received his J.D. from Georgetown University Law Center his A.B. from Harvard College.

Himamauli Das, Acting Director, Financial Crimes Enforcement Network (FinCEN), U.S. Department of the Treasury

Himamauli Das is the Acting Director of the Financial Crimes Enforcement Network (FinCEN), a bureau of the U.S. Department of the Treasury. FinCEN’s mission is to safeguard the financial system from illicit use, combat money laundering, and promote national security through the strategic use of financial authorities and the collection, analysis, and dissemination of financial intelligence. FinCEN serves as the administrator and primary regulator of the Bank Secrecy Act for bank and non-bank financial institutions, including emerging payments involving virtual currency. FinCEN also is the Financial Intelligence Unit of the United States. 

Him was most recently senior managing director and co-head of CFIUS advisory series at K2 Integrity and as a senior advisor at C&M International, the global policy and regulatory affairs affiliate of Crowell & Moring LLP. In these positions, among other things, he contributed to efforts to develop and deploy innovative technologies to help banks and financial services firms monitor transactions and customers to prevent and identify illicit finance. He has also advised on cryptocurrency policy and enforcement developments. 

Him has vast experience at the U.S. Department of the Treasury where he served as counselor to the Department’s General Counsel, Assistant General Counsel for International Affairs, and acting Deputy Assistant Secretary for International Trade and Investment. Him also served as Senior Director for International Trade and Investment at the National Security Council and National Economic Council where he oversaw international trade, investment, and sanctions matters, including efforts to impose targeted financial sanctions across a range of malign actors. He also served as Deputy Legal Adviser at the National Security Council and as an attorney-adviser at the State Department and was integral to the drafting of the domestic and international framework to combat terrorist financing and the development of the USA PATRIOT Act. 

Him received a J.D. and M.P.P from the University of California at Berkeley; an M.Sc. from the University of Colorado at Boulder in astrophysics, planetary and atmospheric sciences; and, a A.B. in physics from the University of California at Berkeley.

For panelists and moderators bios, click here. 

 

Sessions include: 

Thursday, March 24

• Academic Lecturer: Eugene Soltes, Professor of Business Administration, Harvard Business School
• Panel 1: How Can Firms Determine If Compliance is Effective?
• Panel 2: How Monitors Should Test Compliance Efficacy 
• Keynote Speaker: Kenneth A. Polite, Jr., Assistant Attorney General, Criminal Division, U.S. Department of Justice

Friday, March 25

• Panel 1: AI and Compliance
• Panel 2: Creating and Assessing Corporate Culture at the Employee Level