The Legal Department: Help or Hindrance?

Bizunesh (Biz) Scott, Counsel, Patton Boggs LLP
Michael Obolensky, Chief Compliance Officer, HBOS PLC, Bank of Scotland
Robbie Narcisse, VP Global Ethics and Business Practices, Pitney Bowes
Jeffrey Hoops, Partner, Chief Compliance Officer, Ernst & Young LLP

As an ethics and compliance officer have you ever felt that your company’s legal department duplicates your efforts, is difficult to communicate with, seems too reactive at times, or provides advice too late in the game? As the ethics and compliance programs of many companies mature and move out of the legal and audit departments, the delineation of responsibilities between departments can become unclear. When should ethics and compliance take the lead, in which situations is legal in charge, and when must they move in unison? In addition, how can the ethics and compliance office stay ahead of changing laws while keeping the legal department aware of changes in policies and programs? 

This session will explore these issues and more including:

• ensuring that your ethics and compliance program and communications are practicable, meaningful and understandable
• ensuring that aspects of the program are subject to applicable privileges when appropriate
• assisting ethics and compliance officers who are also lawyers to know when they should, and should not, function  strictly as lawyers
• engaging outside counsel and legal consultants efficiently and effectively
• ensuring that the ethics and compliance officers are appropriately involved in internal investigations and related litigation, not only at the beginning or the end, but in the middle