Skip to main content

Corporate Compliance and Ethics Institute 2016


Speaker(s): Adam Siegel, Benjamin Gruenstein, Carrie Penman, Debbie Hart-Klein, Garin L. Bergman, Grace F. Renbarger, Howard Sklar, Jeffrey M. Kaplan, Jill U. Edmondson, Lamond W. Kearse, Larry Parsons, Maria C. Hermida, Michael R. Levin, Nora Kurzova, Paul E. McGreal, Rady Johnson, Robert F. Roach, Saira Jesrai, Steven D. Hurd
Recorded on: Jun. 1, 2016
PLI Program #: 145622

Adam is a partner based in our New York office and the head of our US dispute resolution practice as well as co-head of our global investigations practice. He represents clients facing government investigations and related civil litigation. Clients in a broad range of industries rely on him to defend them in investigations conducted by the US Department of Justice (DOJ), the Securities and Exchange Commission (SEC) and the State Attorneys General in matters involving alleged violations of the Foreign Corrupt Practices Act, insider trading, tax fraud and accounting fraud. He also conducts internal investigations on behalf of clients in a wide range of industries.

Adam works regularly with other firm lawyers around the world, defending multijurisdictional investigations, developing compliance and training programs tailored to the global regulatory regimes faced by clients, and conducting due diligence regarding bribery and other risks in corporate transactions.

He has been recognized by Chambers, The Legal 500 and Benchmark Litigation, among other leading publications. Prior to joining Freshfields, Adam was an Assistant US Attorney in the Criminal Division of the US Attorney’s Office for the Southern District of New York. There he served as Deputy Chief and Chief Appellate Attorney.

Adam received his JD, magna cum laude, from Harvard Law School and his AB, magna cum laude, from Harvard University. He is admitted to practice in the State of New York.

Adam’s recent matters include:

  • conducting internal investigations regarding a variety of allegations in approximately 10 countries in Asia, Latin America, Africa and the Middle East for a multinational energy company;
  • representing a Swiss financial institution in extended discussions with the DOJ and other regulators concerning its tax compliance;
  • representing a global engineering company in internal reviews of corruption allegations and in discussions with multilateral development banks;
  • defending a multinational pharmaceutical company in an inquiry conducted by the DOJ and SEC into relationships with officials in countries in Europe, Africa, Asia and Latin America;
  • conducting an internal investigation for a multinational manufacturing company involving allegations concerning its sales agents throughout the Middle East; and
  • defending the European affiliate of a Big Four accounting firm in an investigation by the SEC and the Public Company Accounting Oversight Board regarding the audit of a client.


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 debbie.hartklein@RELX.com.


Garin L. Bergman founded Guidant Technology, a company focusing on mobile applications for compliance, in May 2016 after spending almost 15 years in various compliance roles. 

Prior to Guidant, he spent five years at IDEX Corporation as the Chief Compliance Officer and three years at Dover Corporation as Director Corporate Compliance where he developed formal compliance programs for thousands of employees around the world.  While at both IDEX and Dover he focused his attention in a number of areas including data privacy, getting the company Safe Harbor certified, refreshing the Code of Conduct and the global hotline, establishing an online training program, developing compliance audit programs and updating and creating a number of compliance policies. 

Mr. Bergman spent six years at Ingersoll Rand (IR) from 2002 – 2008 where he specialized in anti-corruption reviews and investigations as well as internal audit projects.  He worked his way up from a senior auditor to an Audit Manager while spending 18 months in Shanghai setting up the IR Asia Pacific audit department. 

From 1996 – 2002 Mr. Bergman worked in the accounting firms of McGladrey & Pullen and later, KPMG.  He obtained his bachelor’s degree in accounting and a minor in Sociology in 1996 from Concordia College in Moorhead, MN.


Grace Fisher Renbarger currently serves as Vice President, Chief Ethics & Compliance Officer for Bazaarvoice, Inc., a SaaS and online media marketing company that provides a network for brands and retailers seeking to capture, analyze, display and syndicate consumer-generated content. 

Prior to joining Bazaarvoice, Ms. Renbarger taught business law, ethics and corporate social responsibility at the McCombs School of Business at the University of Texas at Austin, and continues as an adjunct professor in the MBA program there. She is also the former Vice President, Chief Ethics & Compliance Officer at Dell, Inc. During her 13 years as a Dell executive, she led a variety of functions including litigation, employment law, government relations, and ethics and compliance. Before her time at Dell, Ms. Renbarger was a partner in the Austin office of Hughes & Luce, L.L.P., a Dallas-based law firm, which subsequently merged with K&L Gates, LLP, a global law firm.

She is a frequent speaker on business ethics, compliance and corporate governance related topics.

Ms. Renbarger attended undergraduate and law school at the University of Texas where she was a member of Phi Beta Kappa and Order of the Coif, and served as an Associate Editor on the Texas Law Review.

Ms. Renbarger supports a variety of non-profit organizations and currently serves on the boards of the Austin Theater Alliance, Dress for Success Austin and Glasshouse Policy.


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 three occasions, been an independent consultant for companies suspended by the World Bank, reporting to the Bank on their respective compliance programs, and 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 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. 

For many years Mr. Kaplan was Counsel to the Ethics Officer Association (now the ECI), a professional association of more than 1000 compliance/ethics officers.  He is, together with Joe Murphy, 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 is author of an e-book on risk assessment issued by Corporate Compliance Insights.   He is editor of the Conflict of Interest Blog.  He was for many years Adjunct Professor of Business Ethics at the Stern School of Business, New York University.  He is now a contributor to the Ethical Systems research project which is run by a professor at that school, and has recently co-authored an e-book for Ethical Systems on behavioral ethics and compliance. He is a member of the New York and New Jersey bars.


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.   


Michael Levin is the Senior Director of Compliance at Freddie Mac overseeing the Ethics, Anti-Money Laundering & Sanctions, and Diversity & Inclusion compliance programs, and setting the strategy to manage and mitigate those risk areas across the Freddie Mac enterprise. This includes the Compliance & Ethics Helpline, the Code of Conduct and associated policies, Employee Trading controls, AML/OFAC programs, corporate investigations of non-accounting matters, and training.

Previously, Levin served as director of Ethics and Business Conduct for The Boeing Company and also for BAE Systems.  At Boeing, Levin led the ethics program for Boeing’s Government Operations and International business areas and served  on the Defense Industry Initiative Working Group and the International Forum on Business Ethical Conduct Steering Committee. At BAE, Levin led the ethics program for the Electronic Solutions (ES) Sector, serving on the ES Leadership Team and the BAE Systems, Inc. Ethics Working Group to develop, establish, and lead the ethics program across all of BAE Systems, Inc.

Before BAE, Levin spent nearly 10 years at Integrity Interactive Corp., where as vice president, Compliance Solutions, he developed and brought to market solutions to reduce risk amongst third party business partners. He also consulted to shape the compliance and ethics programs of more than 100 client companies. From 1995 to 2001, Levin practiced law in Boston, focusing primarily on litigation.

Levin earned a B.A. degree from the University of Maryland and a J.D. degree from the Massachusetts School of Law. He has lectured extensively at industry and legal conferences, and he has published articles in Compliance and Ethics Professional, The Metropolitan Corporate Counsel, Business Week (online), The Sarbanes-Oxley Compliance Journal, and Inside Supply Management magazines. In 2013, Levin served on the Advisory Group to the Ethics Resource Center National Business Ethics Survey. Michael holds the Certified Compliance and Ethics Professional (CCEP) and the Certified Anti-Money Laundering Specialist (CAMS) certifications.

 

Levin resides in Bethesda, Maryland with his wife Taya, their son and daughter, and dog, Fenway.


Nora Kurzova  has been with Tyco since 2007. She has served in multiple roles including Commercial Lawyer for Eastern Europe, Compliance Counsel EMEA and most recently is Chief Privacy Officer for Tyco globally.

Nora started her academic career with undergraduate studies of Law and Forensic Science at the Police Academy in Prague, then earned her masters in general law at Charles University in the Czech Republic followed by post graduate studies and a doctoral degree in Criminal law and forensic science.  She then completed LLM degree in International Public and Criminal law from  the University of Greenwich, UK. Currently Nora is enrolled in a non-degree program and is studying Cryptography and Computer Science at Princeton University.

Nora speaks English, Czech, Russian, French and Slovak and her area of expertise next to data privacy and data protection is criminology with a focus on regulation of corruption and fair competition.

Before joining Tyco Nora has worked for the Czech Criminal Police  where she assisted investigations of organized crime and also taught Introduction to Law and Forensic Science at a Mensa gymnasium in Prague.

Nora has contributed to various periodicals in the Czech Republic on regulation of corruption and has developed a standard on Collecting and Handling DNA evidence for the Department of Forensics in the Czech Republic.


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. He is Compliance Adviser to the Omaha Business Ethics Alliance, and he teaches a course on leadership and conflict engagement in Creighton’s Master’s program in Negotiation and Conflict Resolution.

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, where the graduating class voted him the Senior Class Award in 2008, 2009, and 2010.

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. He has also published over 40 articles and essays in law journals at schools including University of Notre Dame, Northwestern University, and the University of Pennsylvania.

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.


Robert F. Roach is Vice President and Chief Global Compliance Officer at New York University and Adjunct Professor at the Stern School of Business. As NYU’s Chief Global Compliance Officer, Bob is part of NYU’s Office of the President and oversees the University’s Ethics, Compliance and Risk Management programs. Bob is a member of the faculty of the Business and Society Program Area, Langone MBA program at NYU’s Stern School of Business.

Bob is Chair of the Association of Corporate Counsel’s Corporate Compliance and Ethics Committee and Co-Chair of the ACC Greater New York Chapter Corporate Compliance and Ethics Committee.  Bob is also a Certified Compliance and Ethics Professional (CCEP), Certified in Healthcare Research Compliance (CHRC) and a Certified Fraud Examiner (CFE). Bob speaks frequently around the country on ethics and compliance, and has published numerous articles in the areas of ethics, compliance, and investigations.

During his career, Bob has had substantial experience in higher education and public service law. Bob was Assistant Professor of Law at the Marshall-Wythe School of Law, College of William and Mary, where he taught courses and conducted research in the areas of civil rights, constitutional litigation and advanced trial advocacy. While in Virginia, Bob served as counsel to the American Civil Liberties Union of Virginia. He has also taught Constitutional Law at John Jay College and in the Intensive Trial Advocacy Program at Benjamin Cardozo School of Law, Yeshiva University.

Prior to joining NYU, Bob served as Chief of Staff at the New York City Department of Investigation (DOI), where he was responsible for NYC’s ethics and corruption prevention programs and conducted investigations into white collar crimes and public corruption. For his work at DOI, Bob received the U.S. Department of Justice Award for Public Service; the Federal Bureau of Investigation award for Outstanding Performance in a Joint Investigation; the U.S. Attorney, Eastern District of New York Award for Outstanding Performance in a Joint Investigation and Prosecution; the Sheldon Oliensis Ethics in City Government Award; and an award of appreciation from the NYC Police Department, Detective Endowment Association.
Bob has also served as an Assistant District Attorney in the Rackets Bureau of the Manhattan District Attorney’s Office and Section Chief of the Antitrust Bureau of the NY State Attorney General’s Office, where he specialized in the investigation and prosecution of public corruption and white collar crimes.

Bob received his law degree from Georgetown University, where he was an editor of the Law Review.


Saira Jesrai is a Senior Compliance Officer at Marsh & McLennan Companies. She is responsible for overseeing the compliance policies and training for the Company’s 55,000 colleagues located in more than 100 countries.

Saira led the development of the Company’s Code of Conduct The Greater Good, for which she received the prestigious 2010 CEO Recognition Award. In a ground-breaking approach to communicating the importance of ethical behavior, Saira and her colleagues created a compelling documentary film, Faces of Marsh & McLennan Companies, which has won multiple awards, including two at the Los Angeles Reel film festival. Saira also led the development of an innovative Risk & Compliance training series called “Choose Your Path”. The training series has won six awards from distinguished organizations.

Saira was an Honoree at the 38th Annual YWCA of leading women of business, for achievements and contributions in the areas of ethics and compliance.

Saira has been a featured speaker at the Society of Corporate Compliance and Ethics, Practicing Law Institute, LRN and the Open Compliance & Ethics Group.

Prior to joining Marsh & McLennan Companies, Saira began her career as a litigator in the insurance and reinsurance groups of the prominent London law firms of Paisner & Co, Clyde & Co, and DLA Piper.  In 2004, she joined the international division of AIG as counsel.  She transitioned into AIG’s compliance group and was responsible for ensuring compliance in 72 countries across 10 regions, and subsequently overseeing the firm’s global compliance training initiatives.


Steven D. Hurd is a partner in the Labor & Employment Law Department at Proskauer Rose LLP where he serves as co-head of the Employment Litigation & Arbitration Practice Group and Media & Entertainment Industry Group.

Steve has extensive trial and appellate experience, in both federal and state courts focusing on claims of alleged individual and class discrimination, sexual harassment, wage and hour violations, FINRA, whistleblowing and retaliation, defamation, fraud, breach of contract, wrongful discharge and other statutory and common law claims. Steve also advises clients on employment litigation avoidance, litigation strategy and alternative forms of dispute resolution.

Steve helps his clients stay in compliance with the ever-changing employment regulations with respect to FLSA and state law wage and hour requirements by providing advice and conducting comprehensive audits. Steve conducts investigations pertaining to reductions-in-force and individual employee terminations, and claims of gender, race, national origin, and disability discrimination.

Steve received a J.D. magna cum laude from Albany Law School of Union University and a B.A. cum laude from the University of Notre Dame. He serves as a member of the New York State Bar, New York City Bar, Federal Bar Council and is a Fellow of the Litigation Counsel of America. Steve has been recognized for his labor and employment work by The Legal 500 United States, Best Lawyers in America and New York Super Lawyers.


Benjamin Gruenstein is a partner in Cravath’s Litigation Department and a member of the Firm’s Investigations and White Collar Criminal Defense practice.  His  practice focuses on the representation of U.S. and multinational companies and their senior executives in government and internal corporate investigations in such areas as the Foreign Corrupt Practices Act (“FCPA”), healthcare fraud, insider trading, criminal antitrust, accounting fraud and trade sanctions, and accompanying civil litigation. Mr. Gruenstein has handled both domestic and cross-border investigations, including in Latin America, Asia, and Europe.

Prior to joining Cravath, Mr. Gruenstein served as an Assistant U.S. Attorney in the Criminal Division of the U.S. Attorney’s Office for the Southern District of New York from 2002 to 2008. He returned to Cravath in 2008, and became a partner in 2012.

Mr. Gruenstein is a fellow of the American Bar Foundation.  Mr. Gruenstein has been recognized for his white collar criminal defense work by Benchmark Litigation (2016-2018) and The Best Lawyers in America (2016-2018). He has also been recognized by The Legal 500 United States for white collar criminal defense work (2016 2018), securities litigation and related regulatory enforcement matters (2015 2017) and for his experience in the media and entertainment industry (2017-2018).  From 2013 through 2018, Mr. Gruenstein was selected by Lawdragon as one of “500 Leading Lawyers in America.” He and his colleagues earned the Firm a top tier ranking for Criminal Defense: White Collar in the U.S. News Best Lawyers “Best Law Firms” survey in 2018, as well as recognition in the investigations and criminal defense categories of both Chambers USA (2015-2018) and Legal 500 US (2016-2018) and the FCPA category of Chambers USA (2018).  In 2014 and 2015, Mr. Gruenstein was named one of Ethisphere Institute’s “Attorneys Who Matter” and in 2013, he was recognized as one of five Law360 “Rising Stars” in the nation in the White Collar category.

Mr. Gruenstein received an A.B. summa cum laude in Philosophy and Mathematics from Harvard College in 1996, where he was elected to Phi Beta Kappa, and a J.D. magna cum laude from Harvard Law School in 1999, where he was an Editor of the Law Review.  After graduating from law school, Mr. Gruenstein clerked for the Honorable Stephen F. Williams of the U.S. Court of Appeals for the D.C. Circuit and for the Honorable David H. Souter of the U.S. Supreme Court.   


Jill U. Edmondson, Manager of Corporate Compliance & Ethics, is responsible for overseeing The Home Depot’s global compliance and ethics program. Jill joined The Home Depot in August 2005.

With over twenty years of regulatory compliance experience, primarily in the financial services industry, Jill worked with such firms as ING, Invesco and AXA Financial. She formerly held the FINRA Series 7, 24, 63 and 65 licenses.

Jill has a JD from The Walter F. George School of Law at Mercer University and a BBA from The Business School at Emory University. She is a member of the State Bar of Georgia, the Georgia Association of Black Women Attorneys and also holds the Certified Compliance and Ethics Professional (CCEP) certification through The Society of Corporate Compliance and Ethics (SCCE).

Jill currently serves as a Board Member for the Mercer Law School Alumni Association and the Compliance Certification Board. Jill is also on the Board of Directors for The Atlanta Compliance and Ethics (ACE) Roundtable. She is a member of the State Bar of Georgia and the Society for Corporate Compliance and Ethics. Jill frequently serves as a speaker on corporate compliance and ethics topics.


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.


Howard Sklar is Assistant Director of Business Ethics at JPMorgan Chase. Howard runs the Special Investigations Unit and LATAM Investigations, and is responsible for internal investigations involving allegations of bribery, insider trading, rogue trading, or which involve senior leaders, as well as all investigations arising in Latin America. Prior to joining JPMorgan Chase, Howard was Senior Counsel at eDiscovery company Recommind.  Previously, Howard ran the global anti-corruption compliance programs at Hewlett-Packard Co. and before that at American Express.  At American Express, Howard was also the chief of compliance for three operating divisions comprising 22,000 employees in 40 countries.

Before moving in-house, Howard served 12 years as a prosecutor and regulator, first as an Assistant District Attorney in Bronx County, New York. As an ADA, Howard specialized in computer investigations and other high-tech crime.  Howard then spent six years at the Securities & Exchange Commission as a senior enforcement attorney. At the SEC, Howard investigated and prosecuted insider trading, accounting fraud, market manipulation, and other securities laws violations.

Howard has lectured on the FCPA and other compliance issues both nationally and internationally. He also authored part of the published work "How to Pay a Bribe: Thinking Like a Criminal to Thwart Bribery Schemes."

Howard holds a Juris Doctor, cum laude, from the Washington College of Law at The American University and a BA in History from Tufts University.


Lamond W. Kearse is the Metropolitan Transportation Authority’s (“MTA”) first Chief Compliance Officer.  The MTA is one of the largest transportation organizations in the world with almost 70,000 employees servicing on average 8.4 million customers daily with an annual operating budget of approximately 13 billion dollars.

The MTA Board of Directors, as part of corporate governance restructuring, created the position of Chief Compliance Officer.   In 2004 Mr. Kearse joined the MTA establishing a Corporate Compliance Department to manage MTA’s governance, risk, and compliance programs.  Mr. Kearse advises the Board of Directors on corporate governance, ethics, internal control and compliance issues including financial and other reporting requirements.

He created the MTA’s first comprehensive Code of Ethics, Board Member Code of Ethics and Vendor Code of Ethics.  He instituted mandatory compliance/ethics training for officers and directors and created a confidential ethics helpline for employees to report violations or seek advice.  In addition, he oversaw MTA’s implementation of its first automated GRC platform.

Mr. Kearse also worked in the enforcement division of the United States Securities and Exchange Commission. 

He is a member of the Ethics and Compliance Officer Association, National Association of Corporate Directors and the Society of Corporate Compliance and Ethics.

A native of South Carolina, Mr. Kearse received his B.S. from Francis Marion University in Florence, South Carolina and a J.D. degree from Boston University School of Law in Boston, Massachusetts.