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Corporate Compliance and Ethics Institute 2011


Speaker(s): Adam Turteltaub, Amii L. Barnard-Bahn, Andrew J. Hinton, Hazel-Ann F. Mayers, Jack Holleran, Jay C. Mumford, Jeffrey M. Kaplan, Kathryn S. Reimann, Lisa Stewart Hughes, Michael I. Kim, Paul E. McGreal, Paul J. Fishman, Paul J. McNulty, Rebecca Walker, Seth M. Cohen, William B. Jacobson
Recorded on: Jun. 2, 2011
PLI Program #: 28996

Adam Turteltaub is the Vice President of Membership Development for the Society of Corporate Compliance and Ethics and the Health Care Compliance Association. Adam is responsible for marketing and executive relationships. He joined SCCE/HCCA with more than 7 years of experience working with ethics and compliance professionals.

Immediately before joining the SCCE/HCCA, Adam was Corporate Relations Executive for LRN where he was responsible for the company's conferences and events programs.  Adam organized and hosted the KnowledgeForum, the annual meeting of LRN's customer community. This two-day event brought together more than 100 ethics and compliance professionals for an intensive look at the key challenges they face.

Prior to joining the SCCE/HCCA staff, Adam was a regular speaker at the Society of Corporate Compliance and Ethics' events, as well as conferences for a number of other associations, including the Institute of Internal Auditors, Ethics and Compliance Officer Association and the National Contract Management Association.

Adam's professional career includes thirteen years in advertising and marketing. He began at J. Walter Thompson, where he was a part of the company's management training program. During his advertising career Adam worked on such national brands as Burger King, Nintendo, Clorets, Sinutab, Vittel Mineral Water and Wisk.

Before his time in advertising Adam served for two years on the Washington staff of Senator Daniel Patrick Moynihan.

Adam also has an extensive writing background. He was a part of the founding editorial team for Excite. In addition, he has contributed articles to several magazines and wrote a chapter of We'll Never Be Young Again, a look back at the assassination of John F. Kennedy.


Paul J. McNulty

Practice Group
Litigation
Business Crimes and Investigations

Practice Description
Paul J. McNulty joined Baker & McKenzie LLP in 2007 after a long career of public service. He currently chairs the Firm’s Global Corporate Compliance Steering Committee,
and plays a key leadership role in the Business Crimes and Investigations practice. He works with a global team, including highly experienced former prosecutors, in conducting internal investigations, offering strategic counsel for dealing with the Government, and advising on best practices for compliance with U.S. and international legal requirements and regulations.

Prior Work Experience
For more than two decades, Mr. McNulty played a leading role in shaping US law enforcement policy. From 2005 to 2007, he served as US Deputy Attorney General, the
second highest-ranking official in the Department of Justice and chief operating officer of its more than 100,000 employees. In that role, he chaired the President’s Corporate Fraud Task Force, where he oversaw several high-profile corporate fraud prosecutions. He launched a national initiative to combat fraud in government contracting. Mr. McNulty also served as the Justice Department's representative on the Committee on Foreign Investment in the United States (CFIUS) where he negotiated mitigation agreements involving international companies.

Mr. McNulty has held other high-level positions in the United States Government including US Attorney for the Eastern District of Virginia, Chief Counsel for the Majority Leader of the US House of Representatives, Chief Counsel for the House Judiciary Committee’s Subcommittee on Crime, Principal Associate Deputy Attorney General, and Director of Policy and Communications at the US Department of Justice. Confirmed as US Attorney three days after the terrorist attacks on September 11, Mr. McNulty was entrusted with many of the United States highest profile terrorist prosecutions.

His experience in providing strategic advice and counsel to leaders at the highest levels of federal and state government – including Presidents, Governors, Attorneys General, and top Congressional leaders – is a valuable resource to clients.


Hazel-Ann F. Mayers is Senior Vice President, Assistant General Counsel, Litigation and Chief Compliance Officer for CBS Corporation. She manages the Corporation's domestic and international compliance program and also represents CBS and its business units in litigation matters. Hazel counsels her clients on a variety of litigation and compliance related issues, manages and supervises outside counsel and directly handles litigations and investigations in-house (without the retention of outside counsel).

Hazel graduated summa cum laude, Phi Beta Kappa, with a Bachelor of Arts in Pre-Law from the City College of New York. Hazel also earned a Juris Doctor degree at Harvard Law School, where she was a member of the Harvard Black Law Students Association and served as Co-Chair of the Association's Street Law Clinic, a program that educates elementary and junior high school students in the Boston area about their constitutional rights.

Hazel serves on the New York City Bar's Committee on Recruitment and Retention of Lawyers, the board of the New York City Bar Justice Resource Center and is a Trustee of the Harvard Law School Association of New York City. In June 2008, Hazel established a scholarship fund for students in need at an elementary school in Barbados, West Indies, her parents' homeland.  Prior to her employment at CBS, Hazel was an associate in the litigation department at Willkie Farr & Gallagher LLP and an associate in the labor department at Proskauer Rose LLP.


Michael I. Kim has been the Senior Director, Compliance at Celgene Corporation since 2012.  He is currently responsible for Celgene’s Corporate Policies, Code of Business Conduct and Ethics, Anti-bribery Anti-corruption Due Diligence Program, and U.S. and EFPIA Spend Transparency reporting.  Prior to Celgene, he was the Director of Compliance and Assistant General Counsel – Compliance for Ingersoll Rand from July 2006 – May 2012; the Assistant General Counsel and Director of Compliance at AIG from 2001 – 2006; and Counsel, Worldwide Corporate Compliance Group at Warner-Lambert from 1997-2000.   Mr. Kim was a Corporate Associate at Proskauer Rose from 1991 to 1997.  Mr. Kim graduated from Cornell Law School in 1991 and Wesleyan University in 1986.


Andy Hinton is the Vice President of Global Ethics and Compliance at Google. In this role, Mr. Hinton leads the company’s efforts to identify and mitigate compliance risk and to nurture and expand upon the company’s core value of “Don’t be evil.”

Mr. Hinton joined Google in November 2006. From 2003 to 2006, Mr. Hinton was the Chief Compliance Officer at two GE Capital financial services businesses. From 1994 to 2003, Mr. Hinton was a federal prosecutor in New York City, focusing on white-collar crime. From 1989 to 1994, Mr. Hinton was a litigation associate at the New York City law firm of Cravath, Swaine & Moore, where he focused on commercial litigation and white-collar criminal defense.

Mr. Hinton is a 1989 graduate of Fordham School of Law, where he was a member of the Law Review, and a 1982 graduate of Harvard University, where he majored in Economics.

Mr. Hinton lives in Palo Alto, California with his wife, Joy, an accomplished securities lawyer, and their two children, Sarah and Eric.


Jack Holleran currently serves as Managing Director, Compliance at Moody’s Corporation, based in New York City.  In this role, Jack serves as the chief Compliance Officer for Moody’s Analytics, a global developer and provider of products, solutions and services that help financial institutions manage risk.  Moody’s Analytics is part of Moody’s Corporation and an affiliate of Moody’s Investors Service, the credit rating agency, with more than $2 billion in revenue in 2019.  Jack is responsible for the design, implementation and effectiveness of the Moody’s Analytics compliance program.  Jack also serves as the chief Compliance Officer of Moody’s Shared Services and leads the Moody’s anti-bribery and anti-corruption program.

Prior to joining Moody’s, Jack served as Senior Compliance Officer at Marsh & McLennan Companies, Inc., where he worked with MMC and its operating companies to lead compliance and enterprise risk assessments, to drive integration of compliance and ERM and to lead process improvement opportunities arising from risk assessments.  Prior to joining MMC, Jack was a principal with EY (Ernst & Young) in Washington, D.C., where he led the firm’s Corporate Compliance Advisory Services practice.  In that role, he advised clients on compliance risk assessments and compliance program design, implementation, assessment and improvement.  Prior to joining EY, Jack served as Senior Vice President, Compliance and Brand Integrity and Chief Compliance Officer at Philip Morris USA.  In that role, he served on the executive team and was the principal architect of the company’s compliance and anti-counterfeiting programs.  Jack began his career as a trial lawyer with Hunton & Williams in Richmond, Virginia.

Jack is a graduate of Dartmouth College and the Washington & Lee University School of Law.  He is a frequent speaker and author on ethics and compliance-related topics, including Practising Law Institute, Compliance Week, the Society of Corporate Compliance and Ethics, the Conference Board and Metropolitan Corporate Counsel.

 

 


Jay has an extensive track record of innovation in developing and managing international corporate compliance and ethics programs which encourage ethical conduct as well as technical compliance.  Jay has designed and run a wide variety of compliance domains, including an innovative interactive code of conduct, cyclical ethics and compliance training systems, ethics and compliance risk assessment processes, internal anti-corruption management systems, third party channel partner anticorruption management, the data privacy office, records and information management process oversight, life sciences transparency functions, audit support, and policy oversight management. Jay has also taught Code of Ethics training around the world.

In addition, Jay is a process efficiency expert and software developer.  Jay has written many thousands of lines of code that are used daily in the Bio-Rad Corporate Compliance Department program to support sophisticated compliance data analysis and reporting.

Jay’s programs have received multiple external and internal recognitions of effectiveness. In addition, Jay has been an active contributor to multiple compliance and ethics organizations, including the Ethics and Compliance Officer Association board of directors, the one-time chair of the Bay Area Ethics and Compliance Association, the Conference Board Council on Global Business Conduct, and a speaker at multiple Practicing Law Institute and other compliance training events.


Jeffrey M. Kaplan is a partner in the Princeton, New Jersey office of Kaplan & Walker LLP.   For twenty-five years he has specialized in assisting companies in developing, implementing and reviewing corporate compliance/ethics programs. This work has included conducting risk analyses; writing/editing codes of conduct and other policy documents; counseling companies in matters regarding training; developing compliance audit protocols and reporting systems; establishing compliance/ethics offices; and assisting boards of directors in meeting their fiduciary duties under the Caremark case.  He has also conducted numerous program assessments. Mr. Kaplan’s compliance/ethics program practice has included work for clients in the health care, medical devices, pharmaceuticals, automotive, government contracting, insurance, manufacturing, energy, retail, paper, publishing, professional services, education, consulting, telecommunications, technology, securities, private investments, food and chemical fields, as well as non-profit organizations.   

Mr. Kaplan has, on four occasions, been an independent consultant or monitor for vendors suspended by the World Bank, reporting to the Bank on their respective compliance programs;  has  performed a similar review for the United Nations; has served as a compliance monitor in a criminal tax case for the New York County District Attorney; has reviewed and reported to the Department of Justice and SEC on a company’s compliance/ethics program in connection with the settlement of an FCPA-related investigation and has served in a similar role in another FCPA case for the SEC; and has reviewed and reported to a state attorney general on another company’s compliance/ethics program in connection with a settlement of a fraud-related matter.  He also conducts internal investigations on behalf of boards and companies into allegations of wrongdoing brought by whistleblowers and others.  He received his B.A. (magna cum laude, Phi Beta Kappa) from Carleton College in 1976 and his J.D. (cum laude) from Harvard University in 1980.  He is a former partner of Chadbourne & Parke, where he served in the Special Litigation Group, and also a former partner of Arkin Kaplan & Cohen LLP and of Stier Anderson, LLC.    In 2009, he was a recipient of a Compliance and Ethics Award from the Society for Corporate Compliance and Ethics, which that organization bestows annually on “Compliance and Ethics Champions.” 

Mr. Kaplan is, together with Joe Murphy and Win Swenson, co-editor of Compliance Programs and the Corporate Sentencing Guidelines: Preventing Criminal and Civil Liability (West 1993), a leading legal treatise on designing and implementing compliance/ethics programs.  He also publishes a bi-monthly column for Compliance and Ethics Professional and has authored or co-authored e-books on risk assessment (for CCI), behavioral ethics (for Ethical Systems), and ethical culture (for ECI).

Mr. Kaplan is a co-chair of the Practising Law Institute’s annual Advanced Compliance and Ethics Workshop and for many years chaired the Continuing Legal Education program in corporate compliance sponsored by the Association of the Bar of the City of New York. He is editor of the Conflict of Interest Blog.  He was for twelve years Adjunct Professor of Business Ethics at the Stern School of Business, New York University.  He is now a contributor to and a member of the Steering Committee of the Ethical Systems research project which is run by a professor at that school. He is a member of the New York and New Jersey bars. 


Kathryn Reimann, Senior Managing Director and Service Area Executive with Treliant, has wide-ranging experience as Chief Compliance Officer and In-house Counsel at some of the world’s premier financial services companies—in retail and commercial banking, payments, investment banking, and securities trading.

At Treliant, Kathryn is the senior executive overseeing the Consumer Compliance service areas. She is responsible for the service area strategies, including their expansion and client services.

Prior to joining Treliant, Kathryn was Chief Compliance Officer and Managing Director at Citibank, N.A., and Citi’s Global Consumer Bank. She led the compliance functions of both entities, including retail and commercial banking, credit card, secured and unsecured lending, and other consumer finance and investment businesses.

She also served as Senior Vice President and Chief Compliance & Ethics Officer at American Express. Previously, she was Senior Vice President, Chief Compliance Officer, and Senior Counsel at the Lehman Brothers investment bank. She has also worked as an attorney in the General Counsel’s Office of the Dean Witter Reynolds securities brokerage and with the law firm of Curtis, Mallet-Prevost, Colt & Mosle.

Kathryn has a JD from New York University’s School of Law and a BA from Princeton University’s Woodrow Wilson School of Public and International Affairs.


Paul E. McGreal is a Professor of Law at the Creighton University School of Law. He came to Creighton in July 2015, as dean of the School of Law, and he served in that position through July 2017.

Professor McGreal also teaches in the Texas A&M University Executive and Professional MBA Programs.  His courses there have included modules on corporate vicarious liability, domestic and foreign anti-corruption laws (including the Foreign Corrupt Practices Act), corporate compliance and ethics programs, business ethics, and corporate governance.

Professor McGreal was previously dean of the University of Dayton School of Law from 2011 to 2014.  Before that, he was associate dean and professor of law at Southern Illinois University School of Law.

Prior to joining SIU, Professor McGreal established the Corporate Compliance Center at the South Texas College of Law, where he taught for 10 years. While at South Texas, he created and taught the first course on corporate compliance and ethics programs offered at a United States law school. 

Professor McGreal is a frequent speaker and commentator on corporate compliance and ethics programs, and he authors an annual survey of legal developments on the subject for The Business Lawyer, published by the Business Law Section of the American Bar Association.

Before teaching, he worked in the Dallas office of Baker Botts LLP. After graduating from law school, he served as law clerk for Justice Warren Matthews of the Alaska Supreme Court.

Professor McGreal earned an LL.M. from Yale Law School, a J.D. from the Dedman School of Law at Southern Methodist University, and a B.A. in economics from Williams College.


Paul J. Fishman was nominated by President Barack Obama as the United States Attorney for the District of New Jersey in June 2009; he was confirmed by the U.S. Senate on October 7, 2009 and sworn in on October 14, 2009.

As U.S. Attorney, he is responsible for overseeing all federal criminal investigations and prosecutions and the litigation of all civil matters in New Jersey in which the federal government has an interest. Mr. Fishman supervises a staff of approximately 145 attorneys and 115 support personnel in Newark, Camden, and Trenton. In addition to his service as U.S. Attorney, Mr. Fishman served as a member of the Attorney General's Advisory Committee of U.S. Attorney's ("AGAC") from 2009-2013. He served as Vice-Chair of the AGAC from 2009-2011, and Chair from 2011-2012. Created in 1973, the AGAC represents the voice of the U.S. Attorneys and provides advice and counsel to the Attorney General on policy, management, and operational issues affecting the offices of the United States Attorneys across the country.

Mr. Fishman has spent much of his professional career in public service. After graduating from law school, he clerked for the Honorable Edward R. Becker of the United States Court of Appeals for the Third Circuit. He was an Assistant United States Attorney from 1983 to 1994, during which time he served as Deputy Chief of the Criminal Division, Chief of Narcotics, Chief of the Criminal Division, and First Assistant U.S. Attorney. From 1994 to 1997, he was a senior adviser to the Attorney General and Deputy Attorney General of the United States on a variety of law enforcement, policy, legislative, national security, and international matters, as well as on specific investigations and prosecutions. In addition to his public service, from 1998 - 2009 Mr. Fishman was a partner in the law firm of Friedman Kaplan Seiler & Adelman, where he headed the firm’s white collar practice and also handled complex civil litigation. He graduated magna cum laude in 1978 from Princeton University and cum laude in 1982 from Harvard Law School, where he was the Managing Editor of the Harvard Law Review. In 2011, he was awarded an Honorary Doctorate of Law by Seton Hall University Law School.


Rebecca Walker is a partner in the Santa Monica, California office of Kaplan & Walker LLP, a law firm that assists organizations in developing, implementing and improving their corporate compliance and ethics programs. For over twenty years, Ms. Walker has specialized in advising clients on the development and implementation of compliance and ethics programs that are tailored to each client's legal risks and business needs and that conform to applicable government requirements and pronouncements. Ms. Walker has counseled numerous companies in diverse industries on the various components of their compliance and ethics programs, including:

  • Assisting organizations in effectively structuring their programs;
  • Drafting and revising codes of conduct and other policies and procedures, including conflicts of interest and anti-corruption policies and procedures;
  • Developing and delivering compliance training and assisting in the development of compliance training and communications plans;
  • Developing reporting systems, investigations procedures and investigations training; and
  • Developing risk assessment processes and conducting compliance risk assessments.

Ms. Walker has also conducted numerous assessments of compliance and ethics programs, including assessments of entire programs as well as “deep dive” assessments of program elements, such as investigations procedures and program structure, and subject matter areas, such as conflicts of interest and anti-corruption programs.  She has also served as a monitor for the Department of the Air Force and as an independent consultant reviewing programs for the U.S. Securities and Exchange Commission.

Ms. Walker’s clients have included companies from the oil and gas, government contracting, engineering/construction, energy, financial services, pharmaceutical, health care, banking, automotive, publishing, advertising, consulting, telecommunications, retail, consumer products, apparel, railroad and shipping industries, among others, including many companies in the Fortune 500.

Ms. Walker chairs the Practising Law Institute's annual Compliance and Ethics Essentials program in New York and co-chairs their annual Advanced Compliance and Ethics Workshop.  Ms. Walker serves on the Advisory Board of the Compliance and Ethics Professional Magazine, published by the Society of Corporate Compliance and Ethics (SCCE) and on the Editorial Board of the Complete Compliance and Ethics Manual. For seven years, Ms. Walker served on the Advisory Board of the SCCE, the largest association of compliance professionals in the world.  For many years, she also served on the Advisory Board of the Corporate Compliance Center at the South Texas College of Law. Ms. Walker is the author of Conflicts of Interest in Business and the Professions: Law and Compliance, published by Thomson West in 2005.  She is the co-author of a number of compliance surveys, published by The Conference Board, the SCCE and others. Ms. Walker has also published numerous articles regarding compliance and ethics.  Ms. Walker is a frequent speaker on compliance and ethics issues, including for the Practising Law Institute, the SCCE, The Conference Board, and other legal and business groups.

Ms. Walker received her B.A. (magna cum laude, Phi Beta Kappa) from Georgetown University and her J.D. (cum laude) from Harvard Law School. 


Seth Cohen is the Director of Global Compliance for Alvarez & Marsal (A&M), a professional services firm based in New York.  Seth has been with A&M since October 2019.  Seth oversees A&M’s Global Compliance program, including chairing the firm’s Compliance & Ethics Committee and conducting key activities such as policy development, training and communication initiatives, compliance risk assessments, compliance monitoring and reporting.  Prior to joining A&M, Seth was Vice President & Managing Counsel for Global Compliance for ADP from 2017 to 2019.  At ADP, Seth led the Core Compliance team and focused on risk assessments, monitoring and compliance technology enablement.  From 2014 to 2017, Seth was a Director with the Risk Management & Compliance Solution’s practice of PricewaterhouseCoopers (PwC).  At PwC, Seth advised clients on their compliance and ethics programs, conducted compliance risk assessments and developed codes of conduct and other compliance and ethics policies and procedures.  From 2012 to 2014, Seth was the Director of Global Ethics & Compliance at Avaya, Inc., where he managed the company’s global ethics and compliance program.  From 2006 to 2012, Seth was Head of Policy and Processes for Zurich Financial Services’ Office of Compliance North America, where he assisted in the development of the regional compliance function and supported Zurich's response to its regulatory settlement agreements.  Seth also led the company’s global practice group on competition and antitrust, and provided compliance support to Zurich's alternative asset management group.  Prior to arriving at Zurich, Seth was a manager in the Forensic practice at KPMG from 2001 to 2006, where he conducted investigations and compliance and governance assessments for Fortune 500 companies.  He began his career as an Assistant District Attorney in Bronx County, NY, and followed that experience as an investigative attorney for the New York City Department of Investigation.  Seth is a Certified Fraud Examiner (CFE) and is a member of the Association of Certified Fraud Examiners, the Ethics & Compliance Initiative and the Society of Corporate Compliance and Ethics. Seth has published several articles in external publications and spoken on a variety of topics, including compliance program development, antitrust compliance and social media.  Seth is a graduate of the Massachusetts Institute of Technology and the George Washington University Law School.


William Jacobson focuses his practice on FCPA and white collar enforcement, representing corporates, individuals, and financial institutions. Billy has over 25 years of experience, having served as the Chief Compliance Officer and Co-General Counsel of a global oilfield services company, as a federal prosecutor -- including as Assistant Chief for FCPA Enforcement in DOJ’s Fraud Section, and in private practice. Billy’s expertise both in corporate compliance and corporate criminal defense is a rare combination that serves clients well.


Endeavor Group Holdings is comprised of a diverse group of media and entertainment businesses including the William Morris Talent Agency, IMG Models, Ultimate Fighting Championship, and the Miss Universe Organization. The company has revenues exceeding $2B annually and is headquartered in Beverly Hills, New York and London. Ms. Stewart Hughes is responsible for the overall direction, design and implementation of Endeavor’s Global Ethics & Compliance Program.  Prior to joining Endeavor in 2018, she served as Deputy Chief Compliance Officer at NBCUniversal and as a commercial litigator at Simpson Thacher & Bartlett in New York City and Hogan & Hartson in Washington, DC. 

Ms. Stewart Hughes is an author, speaker and expert on building and implementing effective compliance programs, as well as a trainer and advocate for gender equity, harassment prevention, and diversity and inclusion.  She has published, lectured and led workshops for organizations including the Practicing Law Institute, the Society of Corporate Compliance and Ethics, and the Business Roundtable on Ethics.  She serves on the Compliance Committee of the New York City Bar Association, and has previously served on the Boards of Directors for the Women of Tomorrow Mentor & Scholarship Program and the Embrace Music Foundation.

 

Ms. Stwart Hughes received her J.D., from Harvard Law School and is a graduate of Yale University, where she received her cum laude BA in Political Science.  She enjoys writing, yoga, boozy cupcakes, vegan cooking and travel.  She is a lover of chocolate, wine, bacon, and golden retrievers (in that order).

 


Amii Barnard-Bahn is an Executive Coach and Consultant who specializes in helping C-Suite leaders accelerate their success. She is hired by companies who are eager to build a thriving culture. Amii leverages 20+ years of experience in Chief Administrative Officer, Chief Compliance Officer, and Chief Human Resources Officer roles for organizations including McKesson U.S. Pharmaceutical, Fireman’s Fund Insurance/Allianz, and River City Bank. She brings this wealth of “in the trenches” experience to organizations, understanding the challenges today’s leaders face on a daily basis and helping clients achieve transformational leadership and sustainable business results.

Amii holds a JD from Georgetown University Law Center and is a Certified Executive Coach. She is a past Adjunct Professor of Compliance & Ethics at Golden Gate University School of Law and serves on the Bay Area Leadership Committee of 2020 Women On Boards.