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ECEC 2020

Replay | Being relevant for decision makers: What does a CEO, board member or supervisor expect from an effective compliance officer?

An appetite for taking risks and making decisions are essential characteristics of any successful business leader. The most effective compliance officers must anticipate risks, evaluate alternatives to mitigate them, and communicate issues in an effective and timely way. What are some of the ways that a compliance officer can best contribute to strategic dialogue and become an effective partner for the business areas?

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Speaker
James H. Freis Jr. | Lawyer, Manager and Interim CEO, Wirecard
James H. Freis Jr. | Lawyer, Manager and Interim CEO, Wirecard

James H. Freis, Jr. has pursued a career dedicated to promoting the integrity of the global financial markets, building unique new capabilities grounded in good governance, driven by data, and informed by an international perspective.

Mr Freis’s career as an attorney began at the Federal Reserve Bank of New York. He served from 1999 to 2005 at the Bank for International Settlements (BIS) in Basel, Switzerland, supporting the harmonisation of international financial standards and the investment of central bank monetary reserves; returned to the United States to work at the Treasury Department; and also was in private practice at Cleary Gottlieb Steen & Hamilton advising global financial institutions. From 2007 to 2012, Mr. Freis was Director (CEO) of the U.S. Treasury Department’s Financial Crimes Enforcement Network (FinCEN), the lead U.S. Government official for anti-money laundering and counter-terrorist financing requirements, and head of the country’s financial intelligence unit (FIU). From 2014 through 2020 he was Managing Director, Chief Compliance Officer, and Group Anti-Money Laundering Officer for the Deutsche Börse Group in Frankfurt, Germany, responsible for overseeing regulatory requirements and engaging with financial supervisors for Group entities on a global basis for this provider of financial market infrastructures.

Most recently, he was asked to join Wirecard in June 2020 to professionalize the company and oversee its global regulated businesses in a newly created management board role responsible for “Integrity, Legal & Compliance”. Within his first day, he exposed internal fraud, was promoted to CEO, and then initiated a global restructuring.

Mr Freis is a graduate of Georgetown University, earned his Juris Doctor from Harvard University, and is a Chartered Financial Analyst (CFA) charterholder.

About the ECEC Conference

The European Compliance and Ethics Conference (ECEC) brings together thousands of compliance and ethics professionals from all over Europe to share and discuss best practice as well as current trends and challenges in the ethics and compliance world.

Speakers include representatives from leading companies and organisations such as Transparency International, FIFA, KPMG, Thales, Rhenus, Ethintegrity and compliance experts such as Prof. Christian Strenger, Klaus Moosmayer, Frank Staelens, Christian Hunt and many more.

About EQS Group

Established in 2000 and trusted by thousands of companies worldwide, EQS Group provides intuitive digital compliance solutions that help you comply with regulations and meet best practice.

Whether you need to manage insider lists or gifts and hospitality, store and effectively communicate your policies, address conflicts of interest or misconduct and minimise risk, we can help. Our goal is to equip Compliance Professionals with the power of simple workflows, automated processes, advanced analytics, and simplified reporting to make their job easier. In addition to its compliance product suite, EQS Group provides investor relations digital solutions.

Today the group employs more than 350 professionals and has offices in the world’s key financial markets.