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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 Moore, Kathryn S. Reimann, Lisa 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

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:

Professional Organizations

  • 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);
  • San Diego County Bar Association Labor & Employment Law Section (Chair)
  • J. Clifford Wallace Inn of Court (Founding Master/Executive Committee)

Community Organizations

  • 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 (Director/Board Chair)
  • The National Conflict Resolution Center (Director/Board Chair)
  • The Junior Seau Foundation (Director/Executive Committee)
  • The Rolf Benirschke Legacy Foundation (Executive Committee)
  • Kids Included Together, Inc. (Director/Executive Committee)
  • Swarthmore College President’s Council/Council on Presidential Initiatives

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.

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

Brian S. Kaplan serves as the Chair of DLA Piper’s US Employment Practice, and Co-Chair of the Global Employment Practice. For twenty-five years, Brian has represented leading employers and prominent senior executives in all aspects of employment-related litigation before federal and state courts, administrative agencies and arbitration panels. Brian’s representations include defense of claims of employment discrimination, harassment and retaliation; disputes involving the enforcement of restrictive covenants; tort claims such as fraud, breach of fiduciary duty, tortious interference; and employee misclassification claims. Brian’s clients cover a variety of industries, including financial services, retail and apparel, media and higher education, among many others, and include high profile and Fortune 500 companies.

Beyond litigation, Brian regularly advises employers and C-Suite executives on a broad array of employment-related matters, including pragmatic considerations for litigation avoidance and pre-litigation resolution of claims; employee terminations and other disciplinary actions; employment, consulting and separation agreements; and conducting internal investigations of alleged harassment and other employee misconduct.

A graduate of Harvard Law School and the University of Pennsylvania (Wharton), Brian has been repeatedly recognized by publications such as The Best Lawyers in America (in the area of Litigation – Labor & Employment); Legal 500 (as a leading litigator in the Labor and Employment Disputes category); Chambers USA (as a "Noted Practitioner" in Labor & Employment – New York); American Lawyer Media and Martindale-Hubbell (as a Top-Rated, AV Preeminent Lawyer in Labor & Employment); and New York Metro Super Lawyers.

Ellen is a lawyer, ethics & compliance professional, audit executive, and chief privacy officer. She has expertise in identifying, evaluating and mitigating risks as an advisor to the Board of Directors and senior management. She has over 20 years of management experience in various industries in creating, designing, implementing, and operating world class ethics and compliance programs including board governance and reporting, designing instructor led and on-line ethics education, creating policy management frameworks, managing enterprise and compliance risk processes as well as handling investigations and regulatory agency inquiries.

She has deep knowledge of the regulatory requirements for governmental grants and contracts, has managed litigation matters, and redesigned audit planning processes to identify and mitigate risk. Ellen currently serves as the Vice President, Compliance Program Operations and Chief Privacy Officer for LifePoint Health, a national network with 60,000 employees in over 100 hospitals, post acute services, and outpatient centers operating in 28 states. Before joining LifePoint, she has served as the Senior Vice President ~ Audit, Ethics & Compliance Officer for AARP, a 38 million member not-for-profit association that advocates for those 50+ to empower them to chose how they live as they age. Ellen created the first Code of Conduct and Code of Ethics for the AARP Boards and established an ethics and compliance program from seven page conflict of interest policy to AARP being honored as a World's Most Ethical Company in 2019 and 2020. At AARP, she set the strategic direction for both the Internal Audit and the Ethics & Compliance functions with a team of seven and a budget of over $1 million.

Ellen serves on the Advisory Boards for the Notre Dame Deloitte Center for Ethical Leadership, Loyola University Chicago-School of Law- Compliance Studies, Compliance Week, and the Quorum Initiative.

She writes on important topics related to risk and is a frequent presenter at national conferences.


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 in the University of Illinois College of Law and is a Visiting Professor at the CY Cergy Paris Universite School of Law. She serves as faculty for Practising Law Institute, Society of Corporate Compliance and Ethics, and Ethics and Compliance Initiative educational programs.

Ms. Winter is Immediate Past Chair of the Executive Board of the Association of Practical and Professional Ethics (APPE) and chairs the APPE Board’s Intercollegiate Ethics Bowl Committee. 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 for more than a decade at Baxter International Inc. as Vice President and Counsel, Business Practices, and developed and implemented the company's global ethics program.  Ms. Winter also practiced law with the firm of Seyfarth, Shaw and worked as staff for the State of Illinois General Assembly. 

Ms. Winter received her J.D. from the University of Chicago and her bachelor's degree from the University of Illinois at Chicago. 

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

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

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



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

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

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

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 Chief Compliance Officer and Privacy Counsel at Unisys, a global technology service and solutions company (NYSE: UIS).  Reporting to the General Counsel and to the Board Audit & Finance and Security & Risk Committees, she is responsible for the design and implementation of the company’s global compliance program and charged with oversight of the Unisys cross-functional privacy program.   Currently based in the Washington DC metro area, Mrs. Moore has also lived and worked in Moscow, Russia, and Lausanne, Switzerland.

A member of the NY bar, Mrs. Moore started her law career as a judicial clerk at the US Court of International trade, after which she spent several years in private practice with the global law firm, Baker & McKenzie.  She then held various in house positions with Philip Morris International, NASDAQ and Inchcape Shipping Services before joining Unisys in June 2019.  A frequent speaker and university lecturer on data privacy and corporate compliance and ethics, Mrs. Moore holds a BA from Middlebury College, a JD from Emory University, and a certificate of European legal studies from Leiden University.

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.

Michael Ortwein is Assistant General Counsel & Chief Compliance Officer at GM. 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.

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.

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

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

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

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

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

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

Randi Roberts has over 20 years of experience in corporate compliance and ethics program management, in both the public and private sectors.  She is currently a Vice President & Associate General Counsel at PVH Corp., a New York-based, global apparel and fashion company, whose iconic brands include Calvin Klein and Tommy Hilfiger, among others.  In this role, Randi has global responsibility for leading, managing and designing PVH’s corporate compliance program, and leads a global team that manages all aspects of PVH’s compliance program, with a focus on anti-corruption, data privacy, conflicts of interest, economic sanctions, antirust, fraud risk and gifts and hospitality.  Prior to joining PVH, Randi was Senior Compliance Officer for 2 ½ years at Criteo, a publicly traded French advertising technology company, where she led its global compliance program, and travelled extensively to conduct training, risk assessments and internal investigations.  Before Criteo, Randi was Vice President of Compliance for 12 years with NBCUniversal, a global entertainment company, where she managed all components of its global compliance program.  In this role, she served as a company ombudsperson, led significant internal investigations, conducted M&A compliance due diligence in many acquisitions, and designed and implemented a best-in-class, automated Intermediary Management System for addressing third party anti-corruption risks.  She has also worked in private practice as a litigation associate at a major NYC law firm; as a special counsel with a NYC agency responsible for investigating fraud, waste and abuse within the NYC public school system; and as a consultant in the Fraud Risks & Controls Group at PwC. 

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

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

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

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

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

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

FactSet creates flexible, open data and software solutions for over 160,000 of investment professionals around the world, providing instant anytime, anywhere access to financial data and analytics that investors use to make crucial decisions.  Ms. Stewart Hughes is responsible for the overall direction, design and implementation of FactSet’s global ethics and compliance program, and she advises the company and the Board on multiple risk areas including harassment prevention, data privacy, and enterprise risk management.  Prior to joining FactSet in March 2021, she served as Chief Compliance Officer at Endeavor Group Holdings and as Deputy Chief Compliance Officer at NBCUniversal. 

Ms. Stewart Hughes is an author, speaker and expert on building and implementing effective compliance programs, as well as a trainer and advocate for gender equity, harassment prevention, and diversity and inclusion.  She has published, lectured and led workshops for organizations including the Practicing Law Institute, the Society of Corporate Compliance and Ethics, and the Business Roundtable on Ethics.  She serves on the Board of Directors for non-profit storytelling organization, The Moth, and is an advisor to a startup compliance training company, Ethena. 

Ms. Stewart Hughes received her J.D., from Harvard Law School and is a graduate of Yale University, where she received her cum laude BA in Political Science.  She enjoys writing, yoga, vegan cooking and international travel.

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.

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.

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.