As the first Compliance Counsel Expert at the United States Department of Justice (DOJ), Hui Chen served as exclusive consultant to the Fraud Section’s white-collar crime federal prosecutors. She reviewed corporate compliance and ethics programs for companies in areas such as anti-fraud, anti-bribery/kickback, healthcare, quality control, manipulation of financial markets, process safety and environmental protection. She also authored the Fraud Section’s “Evaluation of Corporate Compliance,” a publication praised by compliance practitioners, government regulators and standard setters around the world.
In this in-depth interview facilitated by Mitratech’s VP of Business Development, Chen discusses her work at the DOJ, her advice for creating and maintaining a culture of compliance and her insight into how technology can serve as a tool in this arena. Go in depth as Chen explores how senior management can effectively implement and measure compliance culture, assess risk and gain insight into the world of compliance enforcement.
Below is an excerpt from the interview with Hui Chen. To download and read the complete 14 page interview for free, complete the form.
Tell us a little about your experience at the DOJ. What was your role and how did your time there inform your perspective on compliance and anti-corruption?
I was at the DOJ from late 2015 to the end of June 2017. Prior to that I held a number of in-house positions at Microsoft, Pfizer and Standard Chartered Bank. I am currently an independent ethics and compliance consultant.
At the DOJ, my role was to serve as expert consultant to the prosecutors in the Fraud Section of the Criminal Division. The Fraud Section specializes in the prosecution of complex white-collar crimes in three specific areas as represented by three litigating units: the Foreign Corrupt Practices Act Unit, the Securities and Financial Fraud Unit and the Health Care Fraud Unit. All three units of the Fraud Section prosecute corporations as well as individuals.
When they prosecute corporations, DOJ policy mandates that the prosecutors consider certain factors relevant to the corporation’s conduct called Filip Factors. Out of the ten Filip Factors, two focus on compliance. The first measures the existence and effectiveness of the company’s pre-existing compliance program from before the misconduct occurred. The other factor is remediation.
Remediation can mean what actions the company took to discipline the employees engaged in the misconduct, whether the company compensated the victims impacted by the misconduct and whether the company enhanced their compliance program as a result of the misconduct.
I worked with prosecutors to evaluate the companies’ Filip Factors as they considered what charges to bring and the appropriate resolutions. My specific focus was to assist them on the evaluation of the two compliance related components of the Filip Factors. In a nutshell, that was the main part of my work with the Fraud Section.
As a result of a resolution with the Fraud Section, companies can either be placed under monitor-ship or they can self-report their progress on enhancing their compliance programs. Whether they self-reported or were monitored, I worked with either the company to review the progress they made or with…
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