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Corporate Compliance and Ethics Institute 2017


Speaker(s): Adam Siegel, Allan Tananbaum, Andrew J. Hinton, Andrew Weissmann, Brian Kaplan, Ellen M. Hunt, Gretchen A. Winter, Jack Holleran, Janice L. Innis-Thompson, Jeffrey M. Kaplan, Jeffrey Taylor, Jennifer Heller, Jessica B. Liberman, Karen Handelsman Moore, Kathryn S. Reimann, Lisa Stewart Hughes, Mark Ehrlich, Michael Bramnick, Michael Ortwein, Michelle Anderson, Paul E. McGreal, Randi Roberts, Rebecca Walker, William B. Sailer
Recorded on: Jun. 1, 2017
PLI Program #: 185987

Ellen is the Chief Audit Executive and Ethics & Compliance Officer at AARP.  She is a lawyer and ethics & compliance professional with extensive management experience in designing, implementing and operating ethics and compliance programs including board governance and reporting, designing ethics education, managing enterprise risk processes as well as handling investigations and regulatory agency inquiries.  She was featured as a Top Mind by Compliance Week in June of 2016.  Is a contributor to Trust Inc., A Guide for Boards & C-Suites and was named as one of The Top 100 Thought Leaders for Trustworthy Business 2018 and for the last three years by Trust Across America.


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.


Allan Tananbaum is VP – Compliance & Deputy General Counsel at Ingersoll Rand, and is based in Piscataway, NJ and Davidson, NC. Allan is responsible for leading the global Ethics and Trade Compliance organization at Ingersoll Rand, a team of 40 professional stationed at various locations around the world, and has held his position since February 2010. Prior to assuming his current role, Allan was the VP and Deputy General Counsel for Litigation at Ingersoll Rand and, before that, ran the Litigation function in the Legal Department of Trane Inc., formerly known as American Standard, until it merged into Ingersoll Rand. Allan also previously held an in-house litigation position at Honeywell International Inc. Before starting his in-house career, Allan was an Assistant U.S. Attorney in Newark, where he served stints in the Criminal, Appeals and Special Prosecutions divisions. Allan began his legal career as an Associate at Simpson Thacher & Bartlett in New York City. Allan holds an A.B. degree from Brown University, from which he graduated magna cum laude and where he was elected to Phi Beta Kappa. He received his J.D. degree from Columbia University Law School, where he was Managing Editor of the Columbia Law Review. He is married with three children and lives in Westfield, NJ.


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

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

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

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


Bill Sailer is Senior Vice President & Legal Counsel for Qualcomm Incorporated, where he has handled a wide variety of legal matters for the company, including employment law, litigation and ethics and compliance matters.  Prior to joining Qualcomm, Bill was a partner at Gray Cary Ware & Freidenrich.  In 2011, he was elected by his peers as a Fellow of the College of Labor & Employment Lawyers.

Bill has served in leadership positions in numerous business and charitable organizations, including The Association of Corporate Counsel (Director, Executive Committee), The California Employment Law Council (President/Director), The American Employment Law Council (Advisory Board), State Bar of California Labor & Employment Law Section (Executive Committee), J. Clifford Wallace Inn of Court (Founding Master), The Legal Aid Society of San Diego (President/Director), The San Diego County Bar Foundation (Director/Executive Committee), Rady Children’s Hospital Foundation of San Diego (Chair/Trustee), Voices for Children (Chair/Executive Committee), The National Conflict Resolution Center (Director/Executive Committee), The Junior Seau Foundation (Director/Executive Committee), The Rolf Benirschke Legacy Foundation (Executive Committee), Kids Included Together, Inc. (Director/Executive Committee)

Bill is committed to global diversity and inclusion, and has spoken widely on such topics, including for the Minority Corporate Counsel Association, the Conference Board, the American Bar Association, Association of Corporate Counsel and on the “Guys Overcoming Obstacles to Diversity” Panel (the “GOOD Guys”)  Bill leads the Qualcomm Pro Bono Program and has been awarded both the Wiley E. Manual Award by the State Bar of California and the San Diego Volunteer Lawyer Program’s Distinguished Service Award on multiple occasions for his pro bono work.  He was also recognized as the “Corporate Lawyer of the Year” by the San Diego Chapter of the Association of Corporate Counsel. 

Bill has spoken and written widely on employment law, ethics & compliance and anti-corruption issues. He has authored many publications including the treatise California Employment Litigation:  Strategies and Tactics for Lexis Law Publishing.  He served on the Editorial Review Board for the Matthew Bender Periodical California Employment Law Bulletin.  He has also been a contributing author and consultant to the CEB treatises, Advising California Employers and Employment Law Compliance for New Business. 

Bill graduated from Swarthmore College with Honors in Economics. He received his J.D., cum laude from the University of Michigan Law School.


Brian Kaplan has more than two decades of experience representing employers and prominent senior executives in all aspects of employment-related litigation before federal and state courts, administrative agencies and arbitration panels.

His litigation experience includes defense of claims of employment discrimination, retaliation and harassment, as well as claims brought pursuant to the Fair Labor Standards Act and state and local wage and hour laws; disputes involving the enforcement of employment contracts and non-competition covenants; and tort claims such as fraud, breach of fiduciary duty, tortious interference and defamation. Brian also advises clients on a broad variety of subjects, including: employee performance management, terminations and other disciplinary actions; employment, consulting and separation agreements; investigations of alleged harassment and other employee misconduct; employment policies and practices, including compliance with federal and state laws relating to wage and hour practices, leaves of absence and reasonable accommodations; reductions in force; and litigation avoidance.

 


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 $1.7 billion in revenue in 2018.  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 as the principal architect of 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 management 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 A. Taylor was named Deputy General Counsel and Chief Compliance Officer in April, 2016.  In his role, Taylor has overall responsibility for GM’s ethics and compliance program, and supports GM’s business operations and leadership team in driving business success through an organizational culture committed to integrity, ethical conduct, vehicle safety and compliance with the law and company policies.

Prior to joining GM in November last year as Deputy General Counsel for Federal Oversight, Taylor was vice president and general counsel of Tewksbury, Mass.-based Raytheon Integrated Defense Systems. Before that, he led a team of more than 300 professionals as chief executive of Ernst & Young’s Fraud Investigation and Dispute Services practice in the Americas.

He served as the United States Attorney for the District of Columbia from 2006 to 2009.  He also served as Counselor to Attorney Generals John D. Ashcroft and Alberto R. Gonzales, and he began his career with the United States Department of Justice in 1995 as an Assistant United States Attorney.

Taylor, 51, earned his juris doctor degree from Harvard Law School. He earned a bachelor’s degree in history from Stanford University.


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.


Jennifer Heller is Vice President, Chief Compliance Officer, and Senior Deputy General Counsel for Comcast Corporation.  In this role, she is responsible for leading the internal processes for promoting and ensuring Comcast’s compliance with laws, regulations, company policies and contracts, including chairing its enterprise-wide Compliance Committee which oversees its compliance risk management and internal complaint reporting programs.  She is also responsible for formulating and implementing Comcast’s policies and procedures, including its Code of Conduct, and making sure they are communicated and trained upon across the company. 

Comcast Corporation is a global media and technology company with two primary businesses, Comcast Cable and NBCUniversal. Comcast Cable is one of the nation’s largest video, high-speed Internet and phone providers to residential customers under the XFINITY brand and also provides these services to businesses. NBCUniversal operates news, entertainment and sports cable networks, the NBC and Telemundo broadcast networks, television production operations, television station groups, Universal Pictures and Universal Parks and Resorts.


Karen Moore is the Global Compliance Officer at Inchcape Shipping Services, a logistics services company with over 300 offices worldwide.   Reporting to the group CEO, she is responsible for the design and implementation of the company’s global compliance program.   A member of the New York bar, she started her law career clerking for the Hon. Thomas J. Aquiline Jr. at the US Court of International Trade, after which she spent several years in private practice with a global law firm.  Mrs. Moore then held various positions over fifteen years with Philip Morris International, including Vice President Compliance.  Mrs. Moore joined Inchcape from Nasdaq, where she was Associate General Counsel.   A graduate of Middlebury College and Emory University School of Law, Mrs. Moore has worked in Moscow and Lausanne, Switzerland.  She is currently based in the Washington DC metro area.

Linked in bio can be found at:

https://www.linkedin.com/in/karen-moore-97264660/


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

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

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

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

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


Mark Ehrlich is Vice President, Global Ethics and Compliance at Hilton. Mark is responsible for all aspects of Hilton’s global corporate compliance program, with a particular focus on anti-corruption laws and international trade restrictions, as well as Hilton’s data privacy and security programs.  He oversees third party due diligence, internal investigations, ethics and compliance training, as well as information security risk assessments and incident response.

Prior to joining Hilton, Mark served in compliance roles with The AES Corporation, a global power company, and with MCI/WorldCom where he participated in developing an ethics and compliance program following the discovery of WorldCom’s financial improprieties.  In addition to his work in the ethics and compliance field, Mark has extensive litigation and regulatory experience, serving as in-house counsel with the MCI regulatory litigation group, attorney advisor at the Federal Communications Commission (FCC), and trial attorney with the U.S. Department of Justice in the Civil Division’s Commercial Litigation Branch.


Michael Bramnick serves as chief of staff, reporting to the CEO, and as a member of the Executive Management Team (EMT) at NRG Energy, a Fortune 500 diversified energy company.  He provides counsel and leverage to the CEO and to the EMT, working across all businesses and functions, to ensure strategy is implemented and operations are smooth. Direct functional reports include Government Affairs, Business Continuity, Sustainability, and PositiveNRG, the Company's philanthropic arm.

In addition, Michael has enterprise-wide responsibility for Corporate Compliance and for Regulatory Compliance, reporting to the Audit Committee of the Board of Directors. Corporate Compliance includes Code of Conduct, Investigations, Anti-Bribery & Corruption, Risk Assessment, the Alertline, Ethics, Conflict Minerals, Social Responsibility in Manufacturing, Product Governance, Data Privacy Governance, and Training. Regulatory Compliance includes Trade Compliance and Dodd-Frank, NERC Reliability, NERC-Critical Infrastructure Protection, Investigations, and EIA and EQR filings.  Michael frequently partners with Internal Audit and Risk on Internal Controls, Reputational Risk, and Enterprise Risk Management.

Immediately prior to rejoining NRG in 2014, Michael served for two years as a member of the senior management team at LRN, a leading advisory firm for global companies on matters related to ethics, compliance, corporate culture and governance.  Previously at NRG, Michael served as Executive Vice President & General Counsel, as well as Deputy General Counsel, leading the litigation function and building and leading the corporate and regulatory compliance functions.  Prior to joining NRG in December 2004, Michael headed litigation at a publicly traded chemical company, and held in-house positions in the telecommunications and steel industries.  He spent the first six years of his career in private practice at Pepper Hamilton, LLP.

Michael is a graduate of George Washington University and The Dickinson School of Law of Pennsylvania State University.


Michelle Anderson counsels clients on a wide variety of privacy, security and consumer protection matters.

She regularly helps clients across industries, including technology, media, consumer goods, retail and healthcare, assess and develop privacy programs to balance corporate priorities with privacy protections. This work includes advice on the implementation of privacy policies and practices related to new products and services. Michelle also guides clients through responding to security incidents, including investigation, remediation and notification. In addition, Michelle routinely negotiates privacy and security provisions in vendor agreements. Her domestic compliance experience includes counselling clients on obligations under CAN-SPAM, COPPA, GLBA, HIPAA, TCPA, VPPA and a variety of state laws.

Her practice also includes advising clients on multi-jurisdictional privacy compliance issues, such as marketing, employee privacy, cybersecurity and cross-border data transfers, including EU-U.S. Privacy Shield certification.

Michelle has actively followed state privacy and security legislation as part of the State Privacy & Security Coalition and contributed to amendments to many state privacy laws.

Michelle is a graduate of the University of Virginia School of Law and Georgetown University.


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.


Randi Roberts is a global lawyer with over 20 years of comprehensive experience advising complex multinationals on ethics and compliance, compliance due diligence and emerging market risks.  She is currently Senior Compliance Officer for Criteo S.A., a France-based public global technology company specializing in digital performance advertising.  In this role, she is responsible for all aspects of the company’s global corporate compliance and ethics program, and for ensuring Criteo’s compliance with laws, regulations and company policies.  She is also responsible for formulating and implementing Criteo’s Code of Business Conduct & Ethics, and for monitoring the company’s compliance with these standards and policies.  Randi oversees the company’s ethics complaint hotline and related internal investigations, and provides practical counsel to business clients in order to help them achieve strategic business objectives while actively managing their legal and compliance risks.  Prior to joining Criteo in May 2017, Randi was a Vice President of Compliance for 12 years at NBCUniversal, a leading multinational media company with interests in TV, films and theme parks, where she helped manage its compliance policies and procedures, and developed a specialized expertise in a wide range of compliance risk areas, including  FCPA/anti-bribery compliance, conflicts of interest, gifts & entertainment, international trade controls, political activities and M&A compliance due diligence.     

Randi is a graduate of the University of Pennsylvania and Northwestern University School of Law.  Before joining NBCUniversal, she was a Director in the Fraud Risks & Controls Group of PricewaterhouseCoopers, an Acting Director at Investigative Group International, and served as a Special Counsel to the Special Commissioner of Investigation for the New York City School District. She had also practiced law in New York at Debevoise & Plimpton and the Legal Aid Society’s Criminal Appeals Bureau.

Randi is a frequent speaker on a variety of corporate compliance topics, including FCPA due diligence, compliance auditing and monitoring, gifts & entertainment and conflicts of interest. 


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 nearly 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 Institute in New York and their annual Advanced Compliance and Ethics Workshop in San Francisco.  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. 


As Chief Compliance Officer at Endeavor, Lisa Stewart Hughes manages all aspects of the company’s global business ethics and corporate compliance programs, providing legal advice, training, risk assessment, and related counseling in a variety of policy areas including FCPA and anti-corruption, competition laws, conflicts of interest, international trade controls, fair employment practices, insider trading, money laundering prevention, confidentiality and data protection. 

Prior to joining Endeavor, Lisa served as Deputy Chief Compliance Officer for NBCUniversal in New York and Telemundo Enterprises in Miami.  She has worked as a litigator at Simpson Thacher & Bartlett in New York and Hogan & Hartson in Washington, D.C. 

Lisa has been a speaker, panelist and author for the Practicing Law Institute, as well as for other organizations such as Ethisphere Magazine, the Society of Corporate Compliance and Ethics, the Media Law Resource Center, the Corporate Counsel Women of Color Conference, the Business Roundtable on Ethics and the Harvard Law School Black Alumni Association.  She currently serves on the Compliance Committee of the New York City Bar Association and on the 2018 Global Anti-Corruption and Trade Compliance Advisory Board. Her philanthropic endeavors have included working with and serving on the Boards of Directors for the Women of Tomorrow Mentor & Scholarship Program and the Embrace Music Foundation. Lisa graduated cum laude from Yale University with a BA in Political Science and received her law degree from Harvard Law School, where she was a publishing member of the Civil Rights & Civil Liberties Law Review. 

Lisa enjoys writing, thai yoga massage, vegan cooking and travel.  She is also a lover of chocolate, wine and bacon (indulging in all three while cooking vegan).


Jessica Liberman currently serves as Associate General Counsel for Moody’s Corporation.  In this role, Jessica is responsible for overseeing civil litigation matters globally.  This includes providing advice and counsel on existing litigations, threats of litigation and subpoena matters.  Jessica is responsible for devising strategies for defending the Company’s interests in existing litigation, as well as developing strategies for limiting liability and avoiding future litigation.  This involves collaborating with various stakeholders across the company, including the lines of business, as well as various support functions such as finance, compliance, human resources and communications.  

Since joining the Company more than 12 years ago, Jessica has also been responsible for developing, revising, and implementing the Moody’s Corporation Code of Business Conduct, which serves as the overarching compliance and ethics guide for all Moody’s employees globally.  In her role, Jessica works closely with the Compliance Department on a variety of policy-related issues and serves on the Senior Policy Review Committee as well as the Moody’s Corporation Investigation Review Committee.

Prior to joining the Company in 2004, Jessica was an Associate at Cahill Gordon & Reindel LLP, a prominent law firm known for its litigation practice.  Jessica also served as a law clerk for the Honorable Debra Freeman, Chief Magistrate Judge for the United States District Court for the Southern District of New York.  Jessica holds a J.D. from the University of Pennsylvania School of Law and a B.A. in diplomatic history from the University of Pennsylvania.  Jessica is admitted to practice law in New York.


Gretchen A. Winter, J.D.  is Executive Director of the Center for Professional Responsibility in Business and Society (the "Center") and Clinical Assistant Professor of Business Administration in the Gies College of Business at the University of Illinois at Urbana-Champaign. She received a 2018 Dean’s Impact Award for outstanding contributions to Gies College of Business.

Ms. Winter also serves as an Adjunct Professor at the University of Illinois College of Law and in the College of Engineering City Scholars Program.  She is a Visiting Professor at the Universite de Cergy-Pontoise School of Law, and serves as faculty for various Practising Law Institute, Society of Corporate Compliance and Ethics, and Ethics and Compliance Initiative educational programs, among others. 

Ms. Winter is Chair of the Executive Board of the Association of Practical and Professional Ethics, and she previously chaired the Ethics and Compliance Officer Association Board of Directors. She also has been Program Director for The Conference Board’s Global Business Conduct Council.

Prior to joining the Center, she worked at Baxter International Inc. as Vice President and Counsel, Business Practices, and developed and implemented the company's global ethics program.  She worked for Baxter in other roles over her 18 years with the company. Ms. Winter also practiced law with the firm of Seyfarth, Shaw and was a legislative analyst with the State of Illinois.

Ms. Winter received her J.D. from the University of Chicago and her bachelor's degree from the University of Illinois at Chicago.  She serves as President of the Board of the Leadership Fellows Association of Leadership Greater Chicago and is a member of the Visiting Committee of the University of Illinois at Chicago College of Liberal Arts and Sciences.

She also has chaired and been an appointed member of a number of Illinois university and statewide higher educational boards as well as a variety of not-for profit boards, including Lutheran Child and Family Services of Illinois, Project LEAP (Legal Elections in All Precincts),  and Evanston Hospital’s Institutional Review Board.  She is a member of the Illinois Legislative Staff Intern Hall of Fame.


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.


Michael Ortwein is Lead Counsel, Special Investigations at GM. Among other responsibilities, Michael oversees investigations into alleged wrongdoing against GM employees globally. Before joining GM, Michael was an Assistant U.S. Attorney for nearly seven years, and he spent several years in private practice with Kirkland & Ellis LLP in Washington, D.C. and Honigman Miller Schwartz and Cohen in Detroit, Michigan. Michael began his legal career clerking for a Justice on the Maine Supreme Judicial Court and subsequently for the Honorable Richard J. Leon, U.S. District Court for the District of Columbia. Michael is a graduate of the College of the Holy Cross and Suffolk University Law School in Boston, Massachusetts.


Andrew Weissmann was selected in January 2015 as the Chief of the Criminal Division’s Fraud Section of the U.S. Department of Justice. Prior to his selection, Weissmann taught criminal and national security law at New York University School of Law. Weissmann previously served as the General Counsel for the Federal Bureau of Investigation from 2011 to 2013 and before that, as special counsel to FBI Director Mueller in 2005. He was a partner at Jenner & Block in New York City from 2006-2011 where he was co-head of the White Collar Criminal Law group and on the firm’s Management Committee. From 2002 to 2005, Weissmann served as the Deputy and then the Director of the Enron Task Force in Washington, DC, where he supervised the prosecution of more than 30 individuals in connection with the company’s collapse. Weissmann was a federal prosecutor for 15 years in the Eastern District of New York, where he served as the Chief of the Criminal Division. He prosecuted numerous members of the Colombo, Gambino, and Genovese families, including the bosses of the Colombo and Genovese families. In addition, Weissmann won the largest Financial Industry Regulatory Authority arbitration award in history. He holds a Juris Doctor degree from Columbia Law School and was on the managing board of the Columbia Law Review. He has a Bachelor of Arts degree from Princeton University and attended the University of Geneva on a Fulbright Fellowship.