Conducting Compliance Risk Assessments
5/16/2017
SCCE Higher Education Conference
Monday June 5, 2017, 1.45-2.45 pm
Conducting Compliance Risk Assessments:
Understanding Risk at the Functional Level
Sonal J. Shah, CPA, MSPA, CHC, CGMA
Chief Ethics and Compliance Officer Stanford University
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Career - Responsibilities
Compliance and Ethics, Conflict of Interest, Risk, Enterprise Risk Management, Investigations, Privacy, and Internal Audit, Financial Analysis, ...
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5/16/2017
Career - Profile
Public Accounting Firms Aetna Yale New Haven Health System Landmark Medical Center
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Career - Profile
Tufts Medical Center Hartford HealthCare Harvard University
? School of Dental Medicine Stanford University
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Disclaimer
(To prevent any misunderstanding)
? My Individual View. ? And, not that of Stanford University, or
any of my Previous Employers.
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Compliance Programs
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By a Show of Hands...
How many would say that they have ? an "Evolving" Compliance Program
vs. ? a "Mature" Compliance Program? _________________________________ How about ? A Structured/formal Enterprise Risk Management Program?
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Stanford University's Program
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University - Not-for-Profit World ? Stakeholders
Students
? Education and Learning
Governmental and Private Sponsors
? Research
Donors
? Various Causes and Activities
Patients and Insurers
? Patient Care
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Promote - Compliance and Ethics
? Strive to Ensure: Funds Entrusted are Used Responsibly
and for their Intended Purpose. Activities are Conducted for the Intended Purpose. _______________________________________________ ? Encourage actions of a Fiscally Conscientious Nature, and
Ethically Acceptable Nature.
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