HR's Role in SOX Compliance: How to Build and Manage Your Ethics Hotline and Effectively Handle Complaints

HR's Role in SOX Compliance Webinar Recording

Employees aren’t afraid to blow the whistle when they suspect that their employer may be defrauding the government or the public. In fact, 34 percent of employees have witnessed or had firsthand knowledge of workplace misconduct. Another 78 percent said they would report wrongdoing if they could do so anonymously without the fear of retaliation and for a monetary award.

At many publicly traded companies, Sarbanes-Oxley compliance efforts fall under the legal and accounting departments, but in many cases, especially in smaller companies, assuring SOX compliance falls on HR.

Taking on such a task may seem overwhelming, especially when getting it wrong could mean fines and costly retaliation lawsuits, but it all starts with a well-constructed and well-managed complaint-reporting system, which includes an ethics hotline and other acceptable means for reporting alleged misconduct anonymously.

It's also crucial to have a focused approach to managing those complaints -- from ensuring the confidentiality and anonymity of the claims to conducting your own investigation into any allegations of retaliation for speaking out.

In order to stay SOX compliant, you must get up-to-date on the latest regulations and best practices for developing an effective employee complaint system. 

Participate in this interactive webinar, and you'll learn:

• HR’s role in complying with section 301 of Sarbanes-Oxley
• How to establish a protocol for receiving, retaining, and treating corporate fraud complaints so your organization is SOX-compliant
• Practical considerations for setting up your ethics reporting hotline, including who should manage it and who should have access to information reported to the hotline
• Best practices for ensuring the confidentiality and anonymity of the complainants
• Strategies for ensuring that data related to SOX complaints is properly maintained
• Tips for managing internal investigations related to allegations that an employee is being retaliated against for making a SOX complaint
• How to train employees so they understand the procedures they should follow when reporting alleged financial fraud -- and what to tell managers and supervisors so they don’t spark retaliation claims

In just 90 minutes, you'll learn how to create and manage an effective ethics reporting hotline so you can handle complaints while staying in compliance. Register now for this informative event especially for HR professionals. 

This webinar was recorded on Tuesday, March 20, 2012

HR's Role in SOX Compliance: How to Build and Manage Your Ethics Hotline and Effectively Handle Complaints

About Your Speakers:

Attorney Andrew Moriarty, a partner in Perkins Coie’s Labor & Employment practice, focuses on litigation and arbitration involving statutory and common-law labor and employment claims. He has litigated numerous False Claims Act and other retaliation cases. Mr. Moriarty also provides advice and counseling regarding employment contracts, personnel policies and employee handbooks, discipline and discharge, statutory and regulatory compliance, and union matters. He is the author of “Discipline and Documentation” in the "HR Guide to Employment Law" and co-edits the "Washington Employment Law Letter."

Attorney Fred Rivera is a partner with Perkins Coie focusing his practice on civil litigation and internal and government investigations. He represents corporate clients in litigation and government enforcement matters concerning consumer protection claims, consumer lending compliance, financial products sales practices, mortgage fraud, fair housing and fair lending claims, and ADA compliance. From 1993 to 1998, Mr. Rivera was a trial attorney in the Civil Rights Division of the U.S. Department of Justice, and more recently vice president in charge of internal investigations at Fannie Mae. At Fannie Mae, he had primary responsibility for investigating employee complaint under the Sarbanes-Oxley Act requirements. He is a frequent speaker and author on internal and government investigation issues, including matters that fall under the Sarbanes-Oxley Act and the Dodd-Frank Wall Street Reform Act.