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Advanced Compliance and Ethics Workshop 2016


Speaker(s): Andrea Bonime-Blanc, Carsten Tams, Donald C. Dowling, Jr., Ed Petry, Janice L. Innis-Thompson, Jay T. Jorgensen, Jeffrey M. Kaplan, Jill Bruzga, Jodi A. Catalano, Jose Tabuena, Joseph E. Murphy, Keith Darcy, Kimberly Strong, Mark Snyderman, Paul E. McGreal, Richard J. Wolf, Richard Muzikar, William B. Jacobson
Recorded on: Oct. 17, 2016
PLI Program #: 149143

Mark Snyderman is Chief Ethics & Compliance Officer and Assistant General Counsel at Laureate Education, Inc., which operates an international network of institutions of higher education.  Prior to joining Laureate, Mark was Senior Knowledge Leader at LRN, providing ethics and compliance advisory services to numerous corporate partners.  Mark also has served as Senior Advisor on the 10th Principle (Anti-Corruption) to the United Nations Global Compact.

For many years, Mark worked at The Coca-Cola Company in numerous roles, including Chief Employment Counsel and Chief Ethics and Compliance Officer.  In the latter position, Mark helped establish the ethics and compliance and anti-corruption programs at the company.

Before Coke, Mark worked at the law firm of Gibson, Dunn & Crutcher LLP, practicing employment law and appellate litigation.  And before the firm, Mark served as a law clerk to Justice Sandra Day O’Connor of the U.S. Supreme Court and Judge Alex Kozinski of the U.S. Court of Appeals for the Ninth Circuit.

Mark received his A.B. in Psychology from Washington University, his Ph.D. in Experimental Psychology from Harvard University, and his J.D. from the University of Chicago Law School.  He was for several years an adjunct professor at Emory University School of Law, and is a member of the Board of Directors of the Ethics and Compliance Association and the Ethics Research Center, and the Board of Governors of the Center for Ethics and Corporate Responsibility at Georgia State University.

Mark is married to a brilliant and beautiful woman, and has two wonderful daughters who are sucking up all his money at private colleges.  One of his daughters has, amazingly, inherited his lifelong addiction to the Chicago Cubs.  Mark lives in Atlanta with his wife and a very large record collection.


Jay Jorgensen is executive vice president and global chief ethics and compliance officer for Wal-Mart Stores Inc. (Walmart). As the leader of Walmart’s Global Ethics and Compliance organization, Jay develops the company’s strategic vision for its ethics and compliance program. 

Walmart is focused on building and refining a world-class ethics and compliance program, and was honored to be selected in 2016 by the New York Stock Exchange Governance Services as the “Best Governance, Risk, and Compliance Program” among large-cap companies.

Jay joined Walmart in 2012 as senior vice president and global chief compliance officer. Previously, he was a partner in the international law firm Sidley Austin LLP, where he represented companies and individuals in all phases of criminal and civil investigations and litigation.

Originally from Ioka, Utah, Jay graduated summa cum laude from Brigham Young University's J. Reuben Clark Law School. Jay served as a law clerk to the late William H. Rehnquist, Chief Justice of the United States, and to Associate Supreme Court Justice Samuel A. Alito while he sat on the United States Court of Appeals for the Third Circuit. Jay and his wife, Melissa, have two daughters.


Carsten Tams joined Bertelsmann in 2000. As senior vice president in charge of ethics and compliance, he initiated, designed, and directed Bertelsmann’s global ethics program since its inception in 2008.

His ethics & compliance strategy builds on the premise that an organization’s reputation and success can best be enhanced by promoting a strong ethical organizational culture that empowers its members to be effective agents of integrity, transparency, and accountability.

His previous work focused on initiatives in the areas of corporate culture, organizational development, HR policy, corporate social responsibility, and HRIS.

His work has won numerous prizes, including Gold and Silver at the Brandon Hall Group Excellence in Learning Awards, and the German Corporate Movie Award.


Donald C. Dowling has extensive experience advising U.S.-based companies on outbound international labor and employment laws. Don provides counsel on a wide variety of global employment law matters, including codes of conduct and HR policies that guide operations in multiple jurisdictions, international compensation and benefits issues, whistleblower hotlines, and cross-border internal investigations and HR compliance audits. He regularly advises clients on employment matters that arise with international restructurings, reductions in force, mergers, acquisitions, and outsourcing. Additionally, Don helps clients properly engage independent contractors overseas, manage expatriate programs, and develop employment agreements and employee handbooks.

Earlier in his career, Don served as in-house international employment counsel for a Fortune 500 company in Paris and as an employment law consultant for a global consulting firm. He has delivered hundreds of presentations on international employment law issues in English and Spanish in countries around the world, and regularly publishes articles and teaches courses on a variety of global employment law topics.

Professional & Community Affiliations

Member, Advisory Board
New York University School of Law’s Center for Labor & Employment Law

Former Chair
Cross-Border HR Group
XBHR

Recognition

Named, America's Leading Lawyers for Business
Chambers USA 2017

Named, Legal 500
US Labor & Employment, Workplace and Employment Counseling

Named, Super Lawyer
New York
Super Lawyers

Named, Attorneys Who Matter
2010
Ethisphere Institute

Named, Leading International Labor/Employment Lawyer
PLC Which Lawyer?

Order of the Coif

Education

  • J.D., Levin College of Law at University of Florida, 1985
  • A.B., University of Chicago, 1982

Languages

  • Spanish

Bar Admission

New York

Courts

  • U.S. Court of Appeals, 6th Circuit
  • U.S. District Court, Southern District of Ohio


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 (http://www.gecrisk.com) in a wide variety of sectors. She is author of The Reputation Risk Handbook: Surviving and Thriving in the Age of Hyper-Transparency (http://bit.ly/1284TMR) and the 2015 Conference Board Research Report, Emerging Practices in Cyber-Risk Governance (http://bit.ly/1LO0MI5). 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 (http://bit.ly/1ctFvSh) 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.


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.


Jose Tabuena, M.A, J.D, CFE, CHC

 

Jose Tabuena is an experienced compliance and privacy officer, fraud specialist, and attorney specializing in healthcare legal and compliance management. Along with his consulting practice, PrincipledEdge, He is an active thought leader, published author, regular columnist with Compliance Week, and teaches as an adjunct faculty instructor for the Widener University Delaware Law School, Masters of Jurisprudence Program.

Mr. Tabuena has held major compliance and legal roles at Kaiser Permanente, Texas Health Resources, Orion Health, Concentra | Humana, and UT Southwestern Medical Center. He has managed and conducted a variety of multifaceted fraud and misconduct investigations with emphasis on highly regulated industries. As an internal compliance professional he launched start-up programs and served as the Chief Compliance and Privacy Officer for complex entities in various health industry sectors. As a consultant providing assurance and forensic services in Big 4 consulting environments, he has evaluated compliance and fraud control programs and processes for global organizations in a wide-range of business areas with emphasis on the healthcare provider, payer, pharmaceutical and medical device industries.

Currently, Mr. Tabuena serves on the Board of Trustees for the Pan American Health Organization Foundation which mobilizes regional resources and technical expertise for the World Health Organization. His legal experience encompassed health regulatory matters primarily representing hospital systems and health insurers with liability cases including medical malpractice, medical staff proceedings, and health plan coverage and payment disputes.

Mr. Tabuena attained his Bachelor and Masters of Arts from the University of California, San Diego, and his Juris Doctor degree from the University of California, Berkeley, and is licensed with the California state bar. Mr. Tabuena is an Open Compliance & Ethics Group (OCEG) Fellow, Certified Fraud Examiner (CFE), and Certified in Healthcare Compliance (CHC).


Keith T. Darcy is President of Darcy Partners Inc., a boutique consulting firm that works with boards and top executives on a wide variety of complex governance, ethics, compliance, regulatory and reputation risk challenges. Until year-end 2013 Darcy served nine years as Executive Director of the Ethics & Compliance Officer Association (ECOA). ECOA is the largest association exclusively for ethics and compliance executives with over 1,500 members across six continents.  Darcy also served as Chairman of the ECOA Foundation.

Darcy has combined a 40-year career in the financial services industry with his profession as an educator and his long-term involvement in business ethics, corporate governance and organizational leadership. Darcy is a trustee of St. Thomas Aquinas College (STAC) in Sparkill, NY, and serves as Chairman of the board of the Global Center for Ethics and Social Responsibility at STAC. Darcy is also on the board of the Notre Dame Deloitte Center for Ethical Leadership, South Bend,, IN and serves as a director of the Center for Public Trust in Nashville, TN. At year-end 2013 Darcy stepped down after 12 years as Chairman of the Board of the Better Business Bureau Foundation, which supports the Better Business Bureau of New York. Previously Darcy served on the board of directors of E*Trade Bank and its affiliates where he chaired the Nominating and Governance Committee, and served on the Audit Committee. He also served on the board of directors of New York National Bank, where he served on the Compliance Committee.

Prior to its merger in 2002, Darcy served as Executive Vice President and a member of the Office of the President of IBJ Whitehall Bank & Trust Company (IBJW), NYC.  In the early-1990’s Darcy helped Prudential Securities Inc. establish the first Ethics Office among Wall Street firms in conformance with standards promulgated by the U.S. Sentencing Commission.  For fifteen years he was a senior executive at Marine Midland Bank, N.A. (acquired by HSBC) where he headed both consumer banking and corporate finance groups, and was a key advisor to the President of Marine Midland Bank, NY.  Darcy also served as chief executive officer of IGM, an insurance company jointly owned by General Reinsurance Corporation and Frank B. Hall & Company (now AON), and served as CEO of a related derivatives trading company.

Since 1994 Darcy has been teaching Ethics and Leadership in the Executive Programs at The Wharton School, University of Pennsylvania. In March 2011 was named the first Provident Bank Charitable Foundation Chair of Corporate Responsibility at St. Thomas Aquinas College in Sparkill, NY. From 2008-2012 he served on the Global Anti-Corruption Council of the World Economic Forum headquartered in Davos, Switzerland, and since 2006 serves on the Steering Committee of The Chair of Excellency in Law and Business Ethics at the Universite’ Cergy School of Law in Cergy du Pontois, France. He previously served as Associate Dean and Distinguished Professor of Business at Georgetown University’s McDonough School of Business. He is Executive Fellow (Emeritus) of the Center for Business Ethics at Bentley University in Waltham, MA.

In 2005, Darcy was appointed to the blue ribbon Committee on Food Marketing and the Diets of Children and Youth sponsored by the Institute of Medicine of the National Academies of Science. The findings were presented to congress and have resulted in a wide range of private and public sector initiatives to address the crisis of childhood obesity.

Darcy holds a B.S. degree from Fordham University's College of Business, an M.B.A from the Hagan Graduate School of Business at Iona College, and has done additional post-graduate study at New York Theological Seminary. He has been awarded honorary doctorates from Manhattanville College and St. Thomas Aquinas College.

Mr. Darcy has contributed his expertise to numerous books, and is widely published, quoted and referenced in newspapers and magazines.  Over the years he has been a keynote speaker and panelist in hundreds of venues worldwide. In December 2012 he spoke at the United Nations on the occasion of International Anti-Corruption Day, and in November 2013 he contributed to drafting the Seoul Declaration issued by the UN Global Compact. In December 2014 he emceed the gala event celebrating the tenth anniversary of the tenth principle of the UN Global Compact on anti-corruption.


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.


Richard Muzikar is the Director of Enterprise Risk Management for the Consolidated Edison Company in New York City. Rich has over 40 years of experience at Con Ed. His current responsibilities include the Company’s Enterprise Risk Management Program as well as overall management of the Sarbanes-Oxley Program. Rich began his career as a Staff Accountant in the Corporate Accounting Department and has held positions of increasing responsibility, including Manager of Accounting Research, Division Controller, General Manager – Customer Service, General Manager – Administration, Assistant Controller, and Director of Internal Controls.

Rich holds a Bachelor of Science degree in Economics from Saint Peters College and a Master of Business Administration degree in Accounting from New York University. He also attended an Executive training Program at Dartmouth University. He is a Certified Management Accountant and taught accounting part-time at Rutgers University and the Graduate School of Business at Pace University.


William B. Jacobson: Billy is a partner in the White Collar and Criminal Investigations group at Orrick, Herrington and Sutcliffe, LLP, based in Washington, D.C. From 2009 until July 2014, Billy was the Senior Vice President, Co-General Counsel and Chief Compliance Officer for Weatherford International, a large oilfield services company with operations in 100+ countries. Billy served as a federal prosecutor at the Fraud Section of the U.S. Department of Justice’s Criminal Division for approximately 6 years. His last stint at DOJ was as Assistant Chief for FCPA Enforcement where he was responsible for roughly half of all FCPA investigations and prosecutions. In this role, he also spent a considerable amount of time liaising with the SEC, FBI and foreign prosecutors, including attending meetings of the OECD Working Group on Bribery. Billy started his career prosecuting street crime in New York City.


As Chief Ethics & Compliance Officer, Ms. Kimberly Strong is responsible for supporting and directing Consolidated Edison’s Ethics and Compliance program.  In this capacity, Ms. Strong reports administratively to the General Counsel with direct responsibilities to the Chairman and Chief Executive Officer and Audit Committee Chair of the board of Directors.

Ms. Strong brings over 25 years of legal experience to the Chief Ethics & Compliance Officer position at Consolidated Edison.  Most recently, Ms. Strong served as Vice President, Ethics & Compliance with MWH Global, Inc.  Formerly, Ms. Strong served as Chief Ethics & Compliance Officer for AOL, Inc. and was recognized by Ethisphere magazine as a Top Ethics & Compliance Officer in 2010 and 2012 for advancing the ethics and Compliance professional cause.  Previously she held position as Associate General Counsel for Qwest Communications and was a senior attorney with the Dayton Power & Light Company.  Ms. Strong frequently serves as a speaker for the ethics and compliance community including the Practicing law institute, Ethics & Initiative and Compliance Week.

Ms. Strong earned her Bachelor of Arts in Industrial Communications from Wright State University in Dayton, Ohio and her law degree from the Ohio State University in Columbus, Ohio.


For over 40 years, Joe Murphy, CCEP, has been a tireless champion of compliance and ethics in organizations and has done compliance work on six continents. Joe has published over 100 articles and given over 200 presentations in 17 countries.  Joe is author of 501 Ideas for Your Compliance & Ethics Program and A Compliance & Ethics Program on a Dollar a Day. He is a Certified Compliance & Ethics Professional and Editor of the SCCE publication, Compliance & Ethics Professional. Joe was named one of The National Law Journal’s 50 Governance, Risk and Compliance Trailblazers and Pioneers 2014 and was a winner of SCCE’s Compliance & Ethics Award . He is a member of the Pennsylvania and New Jersey bars.


Rick is Senior Vice President, Chief Ethics Officer for HSBC North American Holdings, Inc.

Over the course of his career Rick has designed corporate ethics programs to meet baseline requirements under the Federal Sentencing Guidelines for Organizations, which regulators and prosecutors use to gauge organizational culture and the effectiveness of self-governance systems. Rick has also implemented and assessed ethics, compliance and enterprise risk management programs, including leading the implementation of customized, manager-led and web-based ethics training and the design of whistleblower reporting systems.

Rick was the founder and principal of Lexakos LLC - a legal business consulting practice specializing in governance, compliance and risk management for organizations across different industry verticals. Prior to that, he was Senior Vice President - Legal and Compliance for the Cendant Corporation - where as head of compliance he established the company’s first corporate compliance and ethics program, and records and information management program.  Rick practiced litigation before launching his corporate career.

Rick earned his law degree from Washington University in St. Louis, where he served as an editor of the law review. He is an elected member of the American Law Institute. He is former president of the Association of Corporate Counsel's Greater New York Chapter, and a current member of the Association of Certified Fraud Examiners and Association of Certified Anti-Money Laundering Specialists.


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.


Ed Petry, Ph.D., joined NAVEX Global Advisory Services in 2004 after almost ten years as executive director of the Ethics and Compliance Officer Association (now part of ECI).  Ed served on the Advisory Panel to the U.S. Sentencing Commission which was responsible for the 2004 revisions. Earlier in his career he was a tenured professor of ethics and a prolific author and researcher and served on various boards and oversight committees for ethics organizations including the Ethics Oversight Committee for the U.S. Olympics. As Vice President with Advisory Services, Ed applies his more than 30 years of experience to help companies assess their ethics and compliance programs. He has also helped more than 250 companies develop and improve their codes of conduct.


Jill Bruzga leads the Compliance Training and Communications team within Pfizer’s Compliance Division, which develops and implements comprehensive compliance learning solutions, communication strategies and culture initiatives to address emerging risks and business needs in support of Pfizer’s culture of integrity.

Prior to joining the Compliance Training and Communications team, Jill held positions in a number of areas in the Legal Division at Pfizer, including field sales support, product support, regulatory law and litigation.


Jodi Catalano is a Senior Corporate Counsel at Pfizer.  She joined the company in 2007 in the Legal Human Resources group and then moved to the Compliance Division in 2010 to handle U.S. Investigations.  She subsequently joined the Global Programs group within Compliance to specialize in compliance training, providing compliance training support to a number of groups including Sales, Research and Development, and Medical Affairs.  In addition to her training responsibilities, Jodi currently  leads the Compliance Division’s culture and communications initiatives.