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Southwest Ohio ACFE Chapter

Upcoming events

    • Friday, December 08, 2023
    • 12:00 PM - 2:00 PM
    • ZOOM - Link emailed the day before the event
    Register

    SpeakerTom Caulfield - Chief Operating Officer - Procurement Integrity Consulting Services and ACFE Regent

    Topic: Fraud Vulnerabilities in Today's Contracts

    In this training, the presenter will remove the mystery from identifying procurement fraud and/or abuse by depicting the traditional procurement fraud and abuse schemes.  The presenter will then overlay this with the procurement process where the schemes are normally deployed.  The training will further identify procurement fraud and/or abuse schemes that require some type of collusion and will identify the associated person(s) in the process.  The presenter will also highlight some of the strategies currently being used to prevent and/or mitigate corruption, fraud, and improper payment in this digital environment.  

    CPE: 2 hours

    CPE credits are based on a 50-minute hour.  CPE is offered through the ACFE as well as the Accountancy Board of Ohio (sponsor number CPE.00467).  Attendees must attend 100 minutes of the meeting and answer 6 polling questions during the meeting to validate attendance. 

    Learning Objectives

    • Distinguish what the key characteristics of procurement fraud and/or abuse are.  
    • Identify where procurement fraud schemes are found in today’s contracting. 
    • Understand what drives, and therefore motivates, a person to commit procurement fraud and/or abuse. 
    • Current techniques to prevent, deter and detect procurement fraud and abuse in today’s contracting including data analytics and predictive modeling.   

    Prerequisites: None

    Speaker Bio: 

    Tom Caulfield has dedicated over forty years of professional public and private services beginning in the United States Marine Corps as a Criminal Investigator and Polygraph Examiner (retired in 1998).  Tom’s career continued as a civil servant in the United States Air Force, the Central Intelligence Agency, and the Council of the Inspectors General on Integrity and Efficiency.  Tom retired in 2015 from federal service as a Senior Executive and after co-founded an international anti-corruption consulting firm named Procurement Integrity Consulting Services (PICS).  Their clients include the United Nations Office on Drugs and Crime, World Bank, the International Law Institute and various government anti-corruption authorities in East Africa, South East Asia and the United Kingdom.  Domestically, PICS has assisted government and private entities in reviewing procurement policy compliance, enhancing ethics and compliance programs, building effective whistle-blower procedures, and establishing procurement anti-fraud protocols.      

    With the global pandemic of COVID-19 presenting unprecedented opportunities for fraud, Tom was asked to return to federal service to build and manage the Special Inspector General for Pandemic Recovery’s (SIGPR) Office of Investigations. After accomplishing the building of SIGPR’s investigative office, he returned to his company where he uses his over four decades of anti-corruption experience in assisting both public and private entities in reducing their vulnerabilities to financial and reputational damages related to corruption and/or fraud. 

    He graduated from Wayland Baptist University and St. Leo College, where he received degrees in both criminology and criminal justice.  He holds various certifications, some of which include Certified Fraud Examiner, Certified Inspector General, and Certified Inspector General Investigator.  He is the recipient of the 2022 Association of Certified Fraud Examiners (ACFE) James Baker Award for instructor of the year and is currently on the ACFE Board of Regents.

    Tom has published and co-published several articles on subjects related to the anatomy of procurement fraud, building effective investigative operations, anti-fraud with data analytics, procurement fraud schemes and the profile of the procurement fraudster.  His material has been referenced in various federal reports and book publications related to procurement fraud and risk strategies.

    • Friday, February 09, 2024
    • 12:00 PM - 2:00 PM
    • ZOOM - Link emailed the day before the event
    Register

    SpeakerPaul E. Fiorelli, J.D./M.B.A.; Certified Compliance and Ethics Professional; Director, Cintas Institute for Business Ethics;  Professor of Legal Studies, Xavier University

    Topic: Accounting Integrity Builds Trust

    CPE: 2 hours Ethics/Ohio PSR (Pending approval)

    CPE credits are based on a 50-minute hour.  CPE is offered through the ACFE as well as the Accountancy Board of Ohio (sponsor number CPE.00467).  Attendees must attend 100 minutes of the meeting and answer 6 polling questions during the meeting to validate attendance.

    Learning ObjectivesPromotion of improved fraud detection and deterrence and through expansion of knowledge in relation to the session's topic.

    Prerequisites: None

    Speaker Bio: 

    Professor Paul Fiorelli is the Director of the Cintas Institute for Business Ethics at Xavier University.  He was also selected to become part of an Ad Hoc Advisory Group to the United States Sentencing Commission, which reviewed Chapter 8 of the Federal Sentencing Guidelines regarding organizations.  The Ad Hoc Advisory Group reported its recommendations to the United States Sentencing Commission on October 7, 2003. After minor revisions, these recommendations were sent to Congress on May 1, 2004 and became law on November 1, 2004.

    Each year the Supreme Court, through the Supreme Court Fellows Commission, selects four individuals to work in different branches of the judiciary.  Paul Fiorelli was selected as one of the 1998-1999 Supreme Court Fellows to work at the United States Sentencing Commission.  During his fellowship year he researched and lectured on compliance and ethics issues, employee confidentiality questions, and how internal auditors can play a major role in compliance programs.  He also received the “Thomas Clark Fellow Award” from Chief Justice William Rehnquist, and the 2007 International Compliance Award from the Society of Corporate Compliance and Ethics.  In May of 2000 he was selected as a Senior Fellow for the Ethics Resource Center’s Fellow’s Program.

    Professor Fiorelli received both his law and M.B.A. degrees in 1981, has taught at Xavier University since 1983 and has been a tenured, Full Professor since 1994.  He has received the following teaching awards: (1) the Dean’s Award for Teaching Excellence in 2003, 2005 and 2006, (2) Teacher of the Year for the entire Williams College of Business in 1995 and 1997, (3) the Teacher of the Year for Executive MBA's in 1992, 1997 and 1999, and (4) the Lamp of Knowledge Teaching Award for the General Electric MBA program in 2002.

    Professor Fiorelli has researched, lectured, and written extensively on the Federal Sentencing Guidelines and has completed a research grant regarding the Guidelines, funded by the Institute of Internal Auditors - Research Foundation.  The outcome of the research has been published as a book entitled, “The Federal Sentencing Guidelines: Guidelines for Internal Auditors”.  Professor Fiorelli has also authored or co-authored, numerous articles published in legal and business journals including: the Wake Forest Law Review, Michigan State Law Review, Journal of Corporation Law, Albany Law Review, Boston College Environmental Affairs Law Review, Internal Auditor and Business Horizons.  These articles have been cited in law journals from Harvard, University of Chicago, Stanford, and Columbia.

    Professor Fiorelli actively consults in the area of business ethics and has provided workshops and presentations to groups and companies, including: AK Steel, AIG, ALICO, Association of College and University Auditors, Arrow, Bell-Textron Helicopter, BP, Cinergy, the Conference Board, the Defense Industry Initiative, Eli Lilly & Co., Ethics and Compliance Officer Association, Ethics Resource Center, Fifth Third Bank, Fort Washington Investment Advisors, General Dynamics, Great American Insurance Company, Harris Corporation, Honda of America, L’Oreal, Marathon Petroleum, Mead-Westvaco, Microsoft, Northrop Grumman, the Ohio Society of CPAs, Sears, Society of Corporate Compliance and Ethics, Toyota, Tysons, the Practicing Law Institute, US Oncology, Wal-Mart, and Western-Southern Life Insurance. 

    • Thursday, March 14, 2024
    • 12:00 PM - 1:00 PM
    • Cincinnati Financial Corporation, 6200 South Gilmore Road, Fairfield, OH 45014
    Register

    Note: This meeting is on a THURSDAY.

    Speaker:  Kerry Smoot, CFE - Chief Investigator, Montgomery County Prosecutor's Office

    Topic: Ghosts In the System:  A Discovery of Internal Thieves 

    In this session, the presenter will review a case that involved the investigation and prosecution of a fraud committed against a company in Southwest Ohio.  This investigation discovered the use of ghost employees that allowed a Human Resource Director to steal over $150,000 over the course of a year.  As he discusses the investigation, the speaker will explore the discovery, how the fraud was committed, and the evidence obtained to prove the case.  The speaker will also explore the link to a manager that was using a receipt reimbursement scheme to steal another $50,000 from the company.   

    CPE: 1 hour

    CPE credits are based on a 50-minute hour.  CPE is offered through the ACFE as well as the Accountancy Board of Ohio (sponsor number CPE.00467).  Attendees must attend 50 minutes of the meeting and answer 3 polling questions during the meeting to validate attendance.

    Learning ObjectivesPromotion of improved fraud detection and deterrence and through expansion of knowledge in relation to the session's topic.

    Prerequisites: None

    Speaker Bio: 
    Kerry, a graduate of the University of Cincinnati, started his career in law enforcement in 2002 working as a patrol officer prior to joining the Montgomery County Prosecutor’s Office in 2016.  For the past seven years while in his current role, Kerry has been investigating financial crimes, conducting digital forensics, and providing investigative assistance for trials.  Kerry obtained his CFE Certification in 2019. 

    • Friday, May 10, 2024
    • 12:00 PM - 2:00 PM
    • Cincinnati Financial Corporation, 6200 South Gilmore Road, Fairfield, OH 45014
    Register

    Speaker: Dajana Gajic-Fisic - C.H. Robinson, Head of Fraud and FraudAware, Principal Consultant

    Topic: Refund Fraud: Have We Created a Monster?

    The world of fraud is ever-changing and dynamic. Fraudsters are always fast to change and adapt their strategy and we, fraud fighters, are trying to stay to step ahead of them. It is not an easy or fair fight. They are exploring and exploiting new risk gaps every day, and we have rules and regulations, processes, limited resources, and limited technology to keep up in this fight. However, we have something they don’t. We have a sense of justice, unlimited persistence, and passion to stop crime.

    As the technology is advancing, so are fraudsters. They are using it to their advantage and to find new ways to make a financial gain. New trends are emerging daily. With the increase of account security needs in the retail world, the lines between fraud needs of financial institutions and the ecommerce world are blurred today more than ever.

    Refund fraud is the newest and fastest growing trend in ecommerce industry. Our goals to improve customer experience may have opened the door to this trend, but is this a monster of our own making?

    In the session we will cover:

    • The presenter's career background. 
    • New fraud trend: high level info about refund fraud and account security (ATO, Loyalty fraud, BOTs)
    • Refund fraud: What is refund fraud? How is it committed? Who are the players? Who are the victims? What is the impact to business? How can it be combatted?
    • Account security: Where to start when protecting your customer/client? How to understand the losses? Use of BOTs in retail and account creation?
    • A few interesting case studies
    • Q&A

    CPE: 2

    CPE credits are based on a 50-minute hour.  CPE is offered through the ACFE as well as the Accountancy Board of Ohio (sponsor number CPE.00467).  Attendees must attend 100 minutes of the meeting and answer 6 polling questions during the meeting to validate attendance. 

    Learning ObjectivesPromotion of improved fraud detection and deterrence and through expansion of knowledge in relation to the session's topic.

    Prerequisites: None

    Speaker Bio: 

    Dajana Gajic-Fisic is Head of Fraud at CH Robinson, and has been in the fraud industry for over 20 years. Currently Dajana is in charge of fraud operations with the focus on identity authentication, ATO, and policy abuse.

    During her career, Dajana had the opportunity to work with many known retail brands, as well as financial institutions. (Finish Line-JD Sports North America, Versace, Hugo Boss,  Nars, Shiseido, La Prairie, Puma, The Limited, MCM, Cole Haan, Barclaycard US, Macy’s CCCS)  

    As the result of her experience, Dajana has created and adopted a unique approach to risk mitigation operations. This 360 approach focuses on segmenting fraud/risk operations into four components: prevention, investigation, reporting and analytics, and strategy. Each component feeds into the next one, creating a holistic picture of the fraud and risk, helping organizations learn from the historical data and be proactive.  In addition, to identify key players within an organization and make them part of the process. The goal is to increase cross-department collaboration as well as collaboration with third party vendors for most successful risk management. This helps ensure that all internal and external key players are operating in the way that feeds into the larger enterprise’s target: to increase revenue at minimal risk, with minimal friction.

    For this unique approach and successes that followed, Dajana was named by a Retail Info Systems, a 2019 Industry Pacesetter: https://risnews.com/pacesetters-2019-fast-rising-retail-executives

    In 2020 Dajana was a part of a small team of fraud professionals that discovered and identified refunding fraud in the retail industry. Her strategies for mitigating refund fraud risk are adopted by many other merchants in an industry, making Dajana a best practice setter. Dajana was recently featured in an article by the Wall Street Journal on "The Rise of Return Scams": https://www.wsj.com/articles/return-scams-jump-as-fraudsters-exploit-e-commerce-boom-11626168601

    CNP awarded Dajana and her team with a 2021 Fraud Team of the Year  award for her efforts and contributions and to the fraud fighting industry: 
    https://news.cardnotpresent.com/news/card-not-present-unveils-2022-cnp-award-winners

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