Skip to main content

Corporate Compliance and Ethics Institute 2012

Speaker(s): Andrea Bonime-Blanc, Carrie Penman, Dana L. Platt, Debbie Hart-Klein, Jack Holleran, Janice L. Innis-Thompson, Jeffrey M. Kaplan, Joel Katz, Joshua Jones, Krista J. McAninley, Larry Parsons, Loretta E. Lynch (Invited), Odell Guyton, Orrie Dinstein, Paul E. McGreal, Peter G. Neiman, R. Allen Johnson, Rebecca Walker, Victoria V. Sweeney, Wayne Brody
Recorded on: May. 31, 2012
PLI Program #: 35508

Krista J. McAninley is Senior General Attorney Compliance for Norfolk Southern Corporation, one of the nation's premier transportation companies. She is responsible for implementing the corporate ethics and compliance program, including management of the company's ethics hotline, legal risk assessment process, and ethics communication and training initiatives.

Outside of Norfolk Southern, Krista is an adjunct assistant professor at Old Dominion University's College of Business and Public Administration, where she teaches a course on corporate compliance and ethics.

Krista has been with Norfolk Southern since graduating cum laude from Wake Forest University School of Law in May 2000. She began her career in the Law Department and now reports to the Vice President Audit and Compliance. She graduated magna cum laude with a Bachelor of Arts degree from Fairleigh Dickinson University.

Loretta E. Lynch was appointed by President Barack Obama and on May 03, 2010, took the oath of office as United States Attorney for the Eastern District of New York from Chief United States District Judge Raymond J. Dearie. In that capacity, she is responsible for overseeing all federal and civil investigations and cases in Brooklyn, Queens, and Staten Island, as well as Nassau and Suffolk Counties on Long Island. She supervises a staff of approximately 170 attorneys and 150 support personnel.

Before joining the U.S. Attorney’s office in 1990, Ms. Lynch practiced law as a litigation associate for a leading New York based firm. She began her career in the Eastern District prosecuting narcotics and violent crime cases. Ms. Lynch served as Chief of the Long Island Office from 1994 to 1998, after serving as the Deputy Chief of General Crimes and as Chief of Intake and Arraignments for the district. While in the Long Island office, she prosecuted white collar crime and public corruption cases, and was the lead prosecutor in a series of trials involving allegations of public corruption in the Long Island town of Brookhaven. Ms Lynch also served the district as Chief Assistant, where she was a member of the trial team in United States v. Volpe, et al., a five-week civil right  case involving the sexual assault by uniformed New York City police officers upon Haitian immigrant Abner Louima.

Ms. Lynch was appointed by President William Jefferson Clinton as United States Attorney for the Eastern District of New York, serving from 1999 to 2001. While U.S. Attorney, Ms. Lynch was a member of the Attorney General’s Advisory Committee, serving as Co-Chair of the White Collar Crime Subcommittee. She was a frequent instructor for the Department of Justice in their Criminal Trial Advocacy Program and served as an Adjunct Professor at St. John’s University School of Law.

Before returning to the office as United States Attorney in 2010, Ms. Lynch was a partner in the New York office of Hogan & Hartson, L.L.P. and was a member of the firm’s Litigation Group. Her practice focused on commercial litigation, white collar criminal defense, and corporate compliance issues. While at Hogan, Ms. Lynch also served as Special Counsel to the Prosecutor of the ICTR, and conducted a special investigation into allegations of witness tampering and false testimony at the Tribunal.

Ms. Lynch received her A.B., cum laude, from Harvard College in 1981. She received her J.D. from Harvard Law School in 1984, where she was an advisor to the first year moot court competition and a member of the Legal Aid Bureau and Harvard Black Law Student Association.

Allen Johnson's career at Southern Company began in 1982 with SCS Internal Auditing, performing operational and financial audits across the system. In 1986, he joined the Southern Company Strategic Planning group assisting in the creation of a Southern Company Strategic Plan and worked on analyzing opportunities for diversification. In 1991, Allen moved to Georgia Power to join the Business Controls department under the direction of Mike Harreld. There he reviewed various company processes to ensure those processes included adequate internal controls. Desiring to broaden his experience, Allen moved to the Distribution department as a Comptroller in the Metro West Region. While in that position, he was asked to become involved in a process review effort that eventually resulted in the creation of the Georgia Power Franchise Manual.  As a result of his work on that team, he was asked to join the corporate Distribution Planning and Support organization to strengthen Distribution's compliance efforts, including Sarbanes Oxley upon its inception.  A re-organization in late 2004 created the Customer Service Organization (CSO) consisting of Distribution, Transmission, Customer Service and Sales functions. At that time, Allen became responsible for overall compliance and process improvement for CSO.

Allen now is manager of workplace ethics and compliance at Georgia Power Company, responsible for managing the overall operation and administration of the workplace ethics program. He also ensures day-to-day compliance with the laws and regulations that govern Georgia Power's business and the requirements of the Federal Sentencing Guidelines.

Allen holds a Bachelor's degree in Accounting from Georgia State University and is a Certified Professional Manger, as well as a Corporate Compliance and Ethics Professional.

Joshua Jones was named the Deputy Director of the Office of Ethics and Compliance in September 2010, and reports to David Wilkins, the Director of the Office of Ethics and Compliance.  Prior to his current role, Jones served as Business Counsel for what is now the Performance Materials Division from April 2007 to September 2010.

Jones is a Certified Public Accountant and began his professional career as an auditor for Ernst & Young in Detroit, Michigan.  After graduating from law school, Jones joined the law firm, Dickinson Wright in Detroit, Michigan, specializing as an attorney in the firm's mergers and acquisitions group. 

Jones is a graduate of Wayne State University Law School and received his Bachelor of Science in accounting from Miami University.

Debbie Hart-Klein is the Chief Compliance Officer for the UK-based RELX  Group, a world leading provider of  information solutions for professional customers across several market segments including:  RELX Group’s businesses operate across several professional market segments:

  • Elsevier is the world’s leading publisher of scientific, technical and medical information, serving scientists, health professionals and students worldwide..LexisNexis Legal & Professional is a world leading provider of legal, regulatory and news & business information and analysis to legal, corporate, government and academic customers in more than 175 countries
  • LexisNexis Risk Solutions is a leading provider of solutions that combine proprietary, public and third-party information, with advanced technology and analytics. These solutions assist customers in evaluating, predicting and managing risk and improving operational effectiveness. Reed Business Information (RBI) provides data services, information and marketing solutions to business professionals across industries globally.
  • Reed Exhibitions is the world’s leading organizer of trade and consumer events, with 500 events globally in a wide range of industry sectors

Ms. Hart-Klein has led RELX Group’s compliance program in her current full-time capacity since January 2007, following 6 years as a consultant to the company.  With a team of five, she oversees all aspects of RELX Group’s compliance program, including development and implementation of the Code of Ethics and Business Conduct and related policies and procedures; development and administration of compliance training and communications materials; management of the internal whistleblower program and internal investigations; and preparation of compliance risk assessments.   

Ms. Hart-Klein previously was Senior Counsel to Harcourt General, Inc., a US-based group of companies in the publishing, specialty retail and movie theatre industries, managing litigation and antitrust compliance for the group.  Before becoming an in-house lawyer, Ms. Hart-Klein was a litigation associate at Wilmer Hale, focusing primarily on antitrust and securities litigation.  She has a bachelor’s degree from Smith College, and earned her law degree from Boston University School of Law.

Ms. Hart-Klein is based in Boston.  She can be reached at

Dr. Andrea Bonime-Blanc is the chief executive officer and founder of GEC Risk Advisory, a global firm that provides strategic and tactical governance, risk, ethics, compliance, corporate responsibility, reputation and crisis advice to boards, executives, investors and advisors ( in a wide variety of sectors. She is author of The Reputation Risk Handbook: Surviving and Thriving in the Age of Hyper-Transparency ( and the 2015 Conference Board Research Report, Emerging Practices in Cyber-Risk Governance ( In 2015, for a second year, she was named an Ethisphere “100 Most Influential People in Business Ethics” in the Thought Leadership category.

She served for two decades as a global corporate executive, including as general counsel, chief risk, ethics, compliance, audit, InfoSec and corporate responsibility officer, at several international companies (Bertelsmann, PSEG, Verint) in energy, technology, media and professional services.  She began her career as an international transactional attorney at Cleary Gottlieb, a leading global law firm. She is a life member of the Council on Foreign Relations, a Director Member of the National Association for Corporate Directors and was named a 2014 100 Top Thought Leader in Trustworthy Business. She is chairman emeritus of the Ethics & Compliance Initiative and currently serves on several boards and advisory boards including NYC-based, Epic Theatre Ensemble, Madrid-based Corporate Excellence - Centre for Reputation Leadership and IE Business School’s Research Centre on Governance, Sustainability & Reputation and UK-based Ethical Corporation Magazine.

Dr. Bonime-Blanc is an Adjunct Professor at New York University and a frequent global keynote speaker. She is an extensively published author of books and articles ( and has been interviewed by or written for the Wall Street Journal, The Economist, the BBC, The New York Times, Foreign Affairs, El Pais, El Cronista, Expansion and Jornal do Commercio. She holds a joint Juris Doctor in law and PhD in political science from Columbia University, was born and raised in Germany and Spain, and lives in New York City.

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.



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. 

Joel Katz is Booz Allen Hamilton’s chief ethics and compliance officer.  Joel and his team are responsible for coordinating Booz Allen’s efforts to ensure compliance with laws and regulations around the world and for fostering an ethical, values-based corporate culture. Joel has significant experience building structures, programs, and training that promote a culture of integrity and compliance and drive high levels of employee engagement.

Before coming to Booz Allen, Joel was the chief integrity and compliance officer for Resideo Technologies. Previously, he held several legal leadership positions with CA, Inc., including serving as the company’s chief ethics and compliance officer and building the compliance program that contributed to CA being named one of the World’s Most Ethical Companies by the Ethisphere Institute for 4 consecutive years. Joel began his career with Williams Mullen LLP, representing companies in labor and employment-related legal issues.

Selected as part of Compliance Week magazine’s class of 2016 top minds and recognized as a top ethics and compliance officer by the Ethisphere Institute in 2013, Joel earned his J.D. with distinction from Hofstra University School of Law and his bachelor’s degree from the University of Michigan. He is a member of the board of directors of BBB National Programs, sits on the advisory board of the W. Michael Hoffman Center for Business Ethics at Bentley University and is a former board member of the Ethics and Compliance Association and the Ethics Research Center. 

Larry currently holds the position of Senior Vice President and Chief Legal and Risk Officer of McLane Company, Inc., a $48 billion company providing grocery, foodservice and alcoholic beverage supply chain solutions for thousands of convenience stores, mass merchants, drug stores and restaurants throughout the United States.  McLane is a supply chain services leader, delivering more than 10 billion pounds of merchandise to customers every year.  Headquartered in Temple, Texas McLane has over 23,000 employees and operates distribution centers in over 80 cities across the United States.  Since 2003, McLane has operated as a wholly owned subsidiary of Berkshire Hathaway, Inc.

Prior to joining McLane, Larry was the Vice President, Legal and Chief Ethics and Compliance Officer for Freescale Semiconductor, Inc.  Prior to its merger with NXP Semiconductor N.V. in 2015, Freescale was a public company headquartered in Austin, Texas with over 18,000 employees in 26 countries. Before joining Freescale, Larry was Senior Director, Labor and Employment Law for Motorola, Inc. Prior to his role at Motorola, Larry practiced labor and employment law in the Austin office of Fulbright & Jaworski, L.L.P. and in the Dallas office of Jones Day, L.L.P.

Larry received his B.S. from Texas Christian University (cum laude, University Honors and Departmental Honors) and his J.D. from Vanderbilt University School of Law (Order of the Coif, Law Review).  Following law school he clerked for the Hon. Jerre S. Williams, Circuit Judge, United States Court of Appeals for the Fifth Circuit.

Larry is a member of the Association of Corporate Counsel (Chair, Council of Committees and Past Chair of the ACC Compliance and Ethics Committee), the Society of Corporate Compliance and Ethics, the Texas General Counsel Forum and is a Certified Compliance and Ethics Professional.  He is a regular speaker on compliance and ethics topics at events sponsored by ACC, SCCE, the Practising Law Institute, the American Conference Institute and others. Larry has served on the Board of Directors for several non-profit organizations including the Texas Christian University Honors College (Immediate Past Chair), the YMCA of the Rockies, Marywood Child and Family Services, the Austin Theater Alliance, Volunteer Legal Services of Central Texas, Chorus Austin and the Austin Summer Musical for Children.   

Mr. Odell Guyton, JD, CCEP, CCEP-I, is the Corporate Vice President, Head of Global Compliance for Jabil Circuit, Inc., St. Petersburg, Florida, USA, a diversified manufacturing services company with over 200,000 employees in 33 countries. Mr. Guyton is a Society of Corporate Compliance and Ethics (SCCE) Co-Founder and Co-Chair.  He is a recognized industry leader in designing, implementing, and managing effective corporate compliance programs for multi-national organizations. He has a significant track record of accomplishment in the legal field and the domestic (U.S.) and international compliance and ethics field.

He is a frequent lecturer on the implementation and administration of anti-corruption and anti-bribery compliance measures focused on U.S. Foreign Corrupt Practices (FCPA) and the U.K. Anti-Bribery Act. He serves on several United Nations workshops related to fighting corruption including the “UN Global Compact Guide on Fighting Corruption in Sport Sponsorship and Sport Related Hospitality” and “The UNODC Anti-Corruption Ethics and Compliance Handbook for Business.”  He is an expert consultant for the Humboldt-Viadrina, School of Governance, Berlin Germany in preparing their “Guide for Motivating Business to Counter Corruption-Using Sanctions and Incentives to Change Business Behavior”. He is a lecturer for the International Anti-Corruption Academy, Laxenburg, Austria.

Mr. Guyton is highly experienced in corporate internal investigation, complex litigation, criminal defense, internal controls, and preventative law and in the design and implementation of compliance programs. He has direct experience in technology, healthcare and university compliance. Mr. Guyton is licensed to practice by the Supreme Court of Pennsylvania Bar, the Washington State Bar Association, the U.S. District Courts, and U.S. 3rd. Circuit Ct of Appeals licenses. He is a Certified Compliance and Ethics Professional (CCEP, CCEP-I). He recently retired as Assistant General Counsel and Director of Compliance for the Microsoft Corporation. Prior to his appointment with Microsoft Corporation he served as the Corporate Compliance Officer for the University of Pennsylvania and University of Pennsylvania Health System. Previous to employment at the University of Pennsylvania, Mr. Guyton was engaged in the private practice of law. Mr. Guyton has served as a prosecutor in the United States Attorney’s Office and the Philadelphia District Attorney’s Office. He has served on several governing boards. He serves as Special Advisor on Compliance to the University of California Board of Regents and has been named as one of the “100 Most Influential Persons in Business Ethics” (Ethisphere Institute (2008)); Attorneys Who Matter (Ethisphere Magazine (2009; 2010, 2011). He also holds a Martindale-Hubbell “AV” (Preeminent) Highest Peer Review Rating. He studied bio-ethics at the University Of Pennsylvania School Of Medicine and received his Juris Doctor degree from the American University, Washington College of Law and earned his Bachelor of Arts degree from Moravian College, Bethlehem, Pennsylvania.

Orrie Dinstein is the Global Chief Privacy Officer at March & McLennan Companies. He has global responsibility for data protection, and he works closely with the Legal & Compliance, IT and Information Security teams, as well as other functions, to establish policies, procedures, processes and tools related to privacy and data protection matters.  Prior to joining Marsh & McLennan, Orrie was the Chief Privacy Officer at GE Capital. 

Orrie received an LL.M. degree in intellectual property from NYU School of Law and is a graduate of the Hebrew University of Jerusalem School of Law.  He is a member of the New York State Bar and the Israel Bar. He is a Certified Information Privacy Professional (CIPP) and a frequent speaker on privacy, security, technology and social media matters.

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.

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. 

Seasoned compliance professional with keen ability to proactively identify and fearlessly escalate issues using effective communication skills, enfranchising all relevant stakeholders, and actively contributing to risk remediation on a timely basis.

Highly effective communicator able to rapidly educate a global business and other functions on fiduciary requirements.

Successful leader in achieving enterprise-wide objectives of global cross divisional, cross functional initiatives on time and within budget.

Experienced evaluator of interdisciplinary impact of existing and proposed IT systems and processes.

Strategic thought leader in organization and execution of Compliance function through physical and virtual global teams, including,

  • Mitigating risk in regulatory exams
  • Harmonizing standards and practices globally
  • Eliminating institutionalized silos

13+ years’ in-house experience with global organizations employing matrix reporting.  Experienced in dealing with direct reports to C-suite management and all other management levels.

Experienced at regulatory exams; respected by regulators.

Deep experience Investment Advisers Act of 1940 and Investment Company Act of 1940, substantial experience Securities Exchange Act of 1934 and ERISA.  Broad experience with non-US investment management regulatory regimes and finding common ground for fiduciary principles.  Deep experience Reg 9. 

Deep experience in preparing SEC exemptions and preparing Form ADV.

Superior manager highly ranked by direct reports and recognized for successful mentoring.

Astute listener, resulting in effective relationships across seniority levels, functions, countries, ethnicities, genders, and other variables.


University of Virginia School of Law, 1980

The University of Wisconsin-Madison, B.A. with distinction, 1975

Bar Memberships

Virginia, 1981 (inactive); Washington, D.C. 1984; New York, 1997

Vicki manages the Ethics and Compliance Group at KPMG LLP.  She and her staff are responsible for ensuring compliance with firm policies and procedures, professional standards and regulations, and enhancing the firm’s ethical culture. 

Roles and Responsibilities:

  • Maintains the firm’s Code of Conduct and related compliance initiatives;
  • Actively manages and monitors Ethics and Compliance hotline reports and retaliation monitoring process;
  • Develops and implements firm-wide Ethics and Compliance training and communications;
  • Monitors compliance with professional licensing and continuing professional education requirements for CPAs and other related compliance monitor functions.

She is a frequent presenter at ethics and compliance conferences and is a member of the ECI Fellows Program.

  • B.A. degree in Government and Business from Skidmore College and a J.D. from New York Law School.
  • Former Member of the board of directors of the Ethics & Compliance Initiative (2011-2017).

Janice Innis-Thompson is the Chief Compliance Officer for Samsung Electronics North America, a role she took on in April 2017.  For approximately eight months prior to joining Samsung, Janice worked as a Senior Advisor for Compliance Strategies, a leading consulting firm specializing exclusively in compliance, ethics, risk and governance practices.  Until June of 2016, Janice was the Chief Compliance and Ethics Officer for TIAA, a role she served in for nine and a half years. Ms. Innis-Thompson oversaw and managed TIAA’s enterprise wide compliance and ethics program. She led a team of compliance professionals who transformed TIAA’s Compliance Program from an Insurance-centric program to a multi-regulated program driven by the Federal Reserve Bank.  She also created TIAA’s Ethics program, which won Ethisphere’s Awards in 2014, 2015 and 2016 ranking TIAA as one of the most Ethical Companies in the World.

Ms. Innis-Thompson joined TIAA in October 2006 from Tyco International, where she was Chief Compliance Counsel. Prior to that, she was the Chief Compliance Counsel at the International Paper Company. Ms. Innis-Thompson began her career with the United States Department of Justice, where she was an Assistant U.S. Attorney in three jurisdictions. During that time she also served a year as Counsel to the Director of EOUSA (Executive Office for United States Attorneys), and worked with Attorney General Janet Reno during the 1996 election. Ms. Innis-Thompson holds a B.A. with honors and a J.D. from the University of Florida. She is a board member of Edward Jones’ Bridge Builder Trust Fund, where she chairs the nominating and governance committee. She is also the Vice President of the Board of the Wardlaw-Hartridge School and she chairs the Committee on Trustees for the School.  Janice is an active member of several industry groups including the Compliance & Ethics Leadership Council and the Executive Leadership Council.  She lives in NJ with her husband, Stephen Lawrence and their daughter Kelly.

As one of the world’s earliest ethics officers, Carrie Penman has been with NAVEX Global since 2003 after serving four years as deputy director of the Ethics and Compliance Officer Association (ECOA). A scientist by training, she developed and directed the first corporate-wide global ethics program at Westinghouse Electric Corporation from 1994-1999. As Chief Compliance Officer for NAVEX Global, she oversees the company’s internal ethics and compliance activities employing many of the best practices that NAVEX Global recommends to its customers.

Carrie has conducted numerous training programs for client Boards of Directors and executive teams, as well as culture and program assessment projects throughout the UK, Europe, Australia, India, and the US. She has also served as a corporate monitor and independent consultant for companies with government settlement agreements.

Carrie is the author of numerous compliance related articles and commentary and is regularly featured or quoted as a compliance expert in the press. Carrie was featured in the Wall Street Journal’s Risk and Compliance Journal and on the cover of Compliance Week magazine. Carrie is a recognized expert in the area of hotline reporting and is the author of NAVEX Global’s annual Hotline Benchmark Report which evaluates data from nearly one million hotline reports annually. She has also published on best practices in benchmarking and monitoring for retaliation.

Carrie is an Executive Fellow at the Bentley University Center for Business Ethics. She has previously served on the ECOA Board of Directors and its Executive Committee; participated as an advisor for the research project on Ethics Programs: the Role of the Board, conducted by The Conference Board; and served on the Advisory Board for the Duquesne University, Beard Center for Leadership in Ethics.

Carrie is a regular speaker at leading ethics and compliance conferences and events. She is an 18-year member of the faculty of the Managing Ethics in Organizations course that is co-sponsored by ECI and the Center for Business Ethics at Bentley University.

In 2017, Carrie received the Ethics & Compliance Initiative (ECI) Carol R. Marshall Award for Innovation in Corporate Ethics for an extensive career contributing to the advancement of the ethics and compliance field worldwide and was a finalist in the Women in Compliance Lifetime Achievement Award for 2018.

A graduate of Purdue University, Carrie holds a Bachelor of Science degree in textile science.

Peter Neiman is a partner in the firm's Litigation/Controversy Department, and a member of the Investigations and Criminal Litigation Practice Group. He joined the firm in 2006. Prior to joining the firm, Mr. Neiman spent nine years as an Assistant United States Attorney with the Criminal Division of the Southern District of New York.


Mr. Neiman has in-depth experience with complex civil and criminal litigation and internal investigations. His recent representations have included:

  • A bank executive in SEC investigation of price manipulation and misrepresentations with respect to closed-end municipal securities funds
  • A hedge fund in parallel criminal and SEC insider trading investigations
  • A high tech company in a criminal investigation related to internet advertising of pharmaceuticals
  • The head of a private equity firm in a perjury and bribery investigation
  • A corporate CEO in a criminal accounting fraud investigation
  • An investment bank and its employees in parallel regulatory and criminal investigations related to securities lending
  • The chairmen of two publicly traded companies in criminal investigations related to internet gambling
  • An international organization in connection with the criminal investigation of its director
  • Several major pharmaceutical companies in criminal, civil, and internal investigations related to marketing practices

As an Assistant United States Attorney for the Southern District of New York, Mr. Neiman focused on white collar criminal investigations involving mail and wire fraud, accounting fraud, tax fraud, securities fraud, health care fraud, art fraud, immigration fraud and foreign bribery.

As a prosecutor, Mr. Neiman tried nine white collar criminal cases, including the successful prosecution of the former owners of Days Inn of America for massive tax evasion and creditor fraud schemes, the former General Counsel of the United States Department of the Treasury for securities and wire fraud, and a leading antiquities dealer for conspiring to sell a sculpture looted from Egypt. He also led the government's largest Foreign Corrupt Practices Act investigation to date, into the alleged payment of tens of millions of dollars in bribes to the President of Kazakhstan and other senior officials there in connection with major oil deals in the 1990s.

Mr. Neiman served as the Deputy Chief Appellate Attorney from 2004-2005. He has argued more than fifteen appeals in the Second Circuit and supervised the government's response to more than forty criminal appeals, including that of the accused mafia boss John Gotti Jr. He also supervised the government's defense of the constitutionality of statutes criminalizing the sale of bootlegged recordings of live musical performances and the willful failure to pay child support.

Honors & Awards
  • Mr. Neiman was the recipient of the Executive Office of United States Attorneys' Directors Award for Superior Performance as an Assistant United States Attorney.
  • Mr. Neiman was selected as a "Future Star" in the 2012 and 2013 editions of Benchmark Litigation.
  • Mr. Neiman has been named a "New York Super Lawyer" in 2007, 2008, 2011 and 2012.

JD, summa cum laude, New York University School of Law, 1991, (first in class); Developments Editor, New York University Law Review
BA, magna cum laude, Brown University, 1988, Phi Beta Kappa

Bar Admissions

New York


The Hon. John M. Walker, US Court of Appeals for the Second Circuit, 1991 - 1992