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Compliance & Ethics Essentials 2018

Speaker(s): Adam Siegel, Allan Tananbaum, Chris Miller, Dan Seltzer, Grace F. Renbarger, Howard Sklar, James R. Turner, Jeffrey M. Kaplan, Jill U. Edmondson, John Skousen, Kimberly Strong, Lamond W. Kearse, Larry Parsons, Lisa Hughes, Mary Dollarhide, Orrie Dinstein, Randi Roberts, Rebecca Walker, Seth M. Cohen, Stephen C. King, Timothy Heine (Ret.), Whitman Knapp, Winthrop M. Swenson
Recorded on: May. 31, 2018
PLI Program #: 219465

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.

Chris Miller is an attorney in the Global Ethics and Compliance Center of the General Motors Legal Staff. Mr. Miller is the Regional Compliance Officer, North America. In this role, he has responsibility for directing GMs ethics and compliance program in North America.  He oversees GM's global policy, training, communications, and third-party anti-corruption due diligence programs.  Mr. Miller supports management, employees, and business units in ensuring compliance with the U.S. Foreign Corrupt Practices Act, international anti-corruption laws, and GM policies. Mr. Miller led a project to transform and re-write GMs Code of Conduct, Winning With Integrity. Mr. Miller also serves as counsel to GMs public policy function. In that capacity, he is responsible for advising the company on corporate political activities including legislation, campaign finance, ethics and election law. He serves as legal counsel to the GM Political Action Committee ("GM PAC"). Mr. Miller received a B.A. from the James Madison College, Michigan State University and a J.D. from The Ohio State University, Moritz College of Law.

Dan Seltzer is the Senior Director of Anticorruption and Government Compliance at Accenture, where he is responsible for ensuring the company’s compliance in all interactions with the government by its 400,000+ employees working more than 120 countries. Dan oversees a team of more than 40 attorneys working around the globe in developing company policy relating to anticorruption or government compliance, designing and delivering training, conducting legal monitoring, vetting the company’s external contractors and business partners, and serving as the subject matter expert on anticorruption and government compliance for his colleagues in legal, as well as the business.  In 2017, the Association of Corporate Counsel recognized Dan as one of the world’s Top 10 attorneys in their 30s.

Prior to joining Accenture, Dan was Senior Compliance Counsel to Agilent Technologies (formerly Hewlett-Packard); a senior associate in the Los Angeles office of Latham & Watkins, where he specialized in white collar criminal investigations and defense; and a law clerk to a federal judge in Los Angeles. During Dan’s career, he has conducted investigations and spearheaded compliance initiatives on every continent other than Antarctica, and has personally delivered training on compliance issues in more than twenty countries around the world.

Grace Fisher Renbarger is Senior Vice President and General Counsel at Bazaarvoice, Inc., a SaaS and online media marketing company that provides a network for brands and retailers seeking to capture, analyze, display and syndicate consumer-generated content.  Before taking on her current role, she was Chief Ethics & Compliance Officer for Bazaarvoice.

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

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

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

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

Jeffrey M. Kaplan is a partner in the Princeton, New Jersey office of Kaplan & Walker LLP.   For twenty-five years he has specialized in assisting companies in developing, implementing and reviewing corporate compliance/ethics programs. This work has included conducting risk analyses; writing/editing codes of conduct and other policy documents; counseling companies in matters regarding training; developing compliance audit protocols and reporting systems; establishing compliance/ethics offices; and assisting boards of directors in meeting their fiduciary duties under the Caremark case.  He has also conducted numerous program assessments. Mr. Kaplan’s compliance/ethics program practice has included work for clients in the health care, medical devices, pharmaceuticals, automotive, government contracting, insurance, manufacturing, energy, retail, paper, publishing, professional services, education, consulting, telecommunications, technology, securities, private investments, food and chemical fields, as well as non-profit organizations.   

Mr. Kaplan has, on 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. 

Jill U. Edmondson, Workplace Ethics and Concerns Manager, is responsible for the day-to-day operations and administration of Georgia Power’s Ethics and Concerns program and processes. The team’s efforts will focus on positively influencing and shaping company culture by identifying workplace trends, issues and risks with potential impact to the company.  Jill joined Georgia Power in December 2018 from Home Depot where she spent thirteen years leading their global compliance and ethics program. With over twenty-five years of regulatory compliance and ethics experience, Jill also worked in the financial services industry.  Jill previously worked with such firms as ING, Invesco and AXA Financial. She formerly held the FINRA Series 7, 24, 63 and 65 licenses.

Jill has a JD from Mercer University School of Law and a BBA from Goizueta Business School at Emory University. She is a member of the State Bar of Georgia, the Georgia Association of Black Women Attorneys and holds the Certified Compliance and Ethics Professional (CCEP) certification through The Society of Corporate Compliance and Ethics (SCCE). Jill currently serves as a Board Member for the Mercer Law School Alumni Association. She is a former board member of The Atlanta Compliance and

Ethics (ACE) Roundtable. Jill frequently serves all over the country as a speaker on corporate compliance and ethics topics.

John Skousen currently is the Chief Compliance Officer at Qualcomm Incorporated.   Qualcomm is a leader in the mobile telecommunication industry.  Qualcomm is headquartered in San Diego, has approximately 34,000 employees and operates in 70+ countries. 

Mr. Skousen formerly was a CPA with PWC.  Additionally, he has worked with various US and internationally based companies, including Costco, Fujitsu, HP and Life Technologies.  He has extensive experience in the field of international compliance, including FCPA, anti-bribery, import/export controls, and data protection and security. 

Mr. Skousen has a BS in Accounting from BYU and an MBA from SDSU.  He has taught courses and seminars on governance and compliance at the University of San Diego and the University of California, San Diego.  He is a frequent speaker on international compliance topics at business seminars. 

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

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

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

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

Mary Dollarhide is resident in the San Diego offices of DLA Piper where she concentrates on wage and hour class actions brought under federal and state wage and hour laws, including the federal WARN Act. Her single plaintiff cases involve sexual orientation discrimination, religious harassment, political activity discrimination, disability claims, breach of contract, data privacy, theft of proprietary information and other employment-related actions. She has represented clients such as Morgan Stanley, McKesson Corporation, Teleperformance USA, AMN Healthcare, General Electric, IBM, Aetna, Equinix, Goldman Sachs’ Archon Group, American Red Cross, Qualcomm and CB Richard Ellis. Ms. Dollarhide is admitted to practice in California, District of Columbia, Connecticut, multiple federal districts in California, New York, Connecticut, Illinois, Ohio and Michigan, as well as the Ninth, Second and Sixth Circuits. She currently serves as a Lawyer Representative to the United States District Court for the Southern District of California. Prior to joining DLA, she spent her entire career at Paul Hasting


  • University of Southern California Gould School of Law J.D.
  • Editor-in-Chief, Southern California Law Review
  • Occidental College B.A, with Honors and Departmental Distinction.


  • Connecticut
  • California
  • Washington, D.C.

Accolades, Recognitions and Service

  • Best Lawyers in America
  • College of Labor and Employment Lawyers, Fellow
  • Lawyer Representative to the United States District Court for the Southern District of California
  • Top 25 Women Lawyers in San Diego — SuperLawyers
  • Litigation Council of America, Senior Fellow
  • Martindale Hubbell AV Preeminent Rating

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

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

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. 

Seth Cohen is the Director of Global Compliance for Alvarez & Marsal (A&M), a professional services firm based in New York.  Seth has been with A&M since October 2019.  Seth oversees A&M’s Global Compliance program, including chairing the firm’s Compliance & Ethics Committee and conducting key activities such as policy development, training and communication initiatives, compliance risk assessments, compliance monitoring and reporting.  Prior to joining A&M, Seth was Vice President & Managing Counsel for Global Compliance for ADP from 2017 to 2019.  At ADP, Seth led the Core Compliance team and focused on risk assessments, monitoring and compliance technology enablement.  From 2014 to 2017, Seth was a Director with the Risk Management & Compliance Solution’s practice of PricewaterhouseCoopers (PwC).  At PwC, Seth advised clients on their compliance and ethics programs, conducted compliance risk assessments and developed codes of conduct and other compliance and ethics policies and procedures.  From 2012 to 2014, Seth was the Director of Global Ethics & Compliance at Avaya, Inc., where he managed the company’s global ethics and compliance program.  From 2006 to 2012, Seth was Head of Policy and Processes for Zurich Financial Services’ Office of Compliance North America, where he assisted in the development of the regional compliance function and supported Zurich's response to its regulatory settlement agreements.  Seth also led the company’s global practice group on competition and antitrust, and provided compliance support to Zurich's alternative asset management group.  Prior to arriving at Zurich, Seth was a manager in the Forensic practice at KPMG from 2001 to 2006, where he conducted investigations and compliance and governance assessments for Fortune 500 companies.  He began his career as an Assistant District Attorney in Bronx County, NY, and followed that experience as an investigative attorney for the New York City Department of Investigation.  Seth is a Certified Fraud Examiner (CFE) and is a member of the Association of Certified Fraud Examiners, the Ethics & Compliance Initiative and the Society of Corporate Compliance and Ethics. Seth has published several articles in external publications and spoken on a variety of topics, including compliance program development, antitrust compliance and social media.  Seth is a graduate of the Massachusetts Institute of Technology and the George Washington University Law School.

Tim Heine is recently retired, having served in the American Express General Counsel’s Organization for over 37 years, with a range of responsibilities over time including in senior leadership roles. Most recently, he served as a Special Advisor to the Company’s Chief Legal Officer and, immediately prior to that, Tim led the Company’s Enterprise & Regulatory Legal Team whose charter was to deliver legal support on an enterprise-wide basis for certain subject matter areas (including bank regulatory, financial crimes, technology, privacy, cyber security, antitrust, intellectual property, digital, supplier management, insurance and real estate). That team also included the Company’s Global Legal Policy and Strategy function. In prior roles, Tim led the business lawyer teams supporting most of the Company’s core U.S. businesses and functions. In addition to his legal duties, for several years Tim had oversight responsibility for the Company’s Global Compliance & Ethics Organization and program. In 2017, Tim served as the Company’s Acting General Counsel on an interim basis.

Tim joined American Express in 1983 after working for a NY law firm (Breed, Abbott & Morgan) and clerking for the Chief Judge of the Federal District Court in New Jersey.

Tim received a B.S. in Economics from the Wharton School at the University of Pennsylvania, and his J.D. from Fordham Law School. He and his wife, Sue, live in Spring Lake, NJ and have three grown sons.

Whitman Knapp graduated from the University of Virginia School of law in 1993.  After working at a law firm in New York, Whit joined the Manhattan District Attorney’s Office Rackets Bureau, where he was involved in the investigation and prosecution of criminal enterprises ranging from traditional organized crime to wide-ranging insurance fraud rings. 

Whit subsequently worked in the Criminal Prosecutions Bureau at the New York State Attorney General’s Office.  While there, Whit worked extensively on investigations and prosecutions of individuals and entities connected with bid-rigging and price fixing within the insurance industry. 

Since 2008, Whit has worked at the United States Attorney’s Office for the Eastern District of New York in the General Crimes and Organized Crime units and, since 2012, in the Business and Securities Fraud Unit, where he currently serves as deputy chief and health care fraud coordinator.  During his time in the Eastern District, Whit has worked on investigations and prosecutions of corporations and individuals within several different industries, most notably the construction industry, and has also worked on and supervised securities fraud, commodities fraud, FCPA, health care fraud and other matters.

Work Experience

Alabama Power Compliance and Concerns Director – Provides oversight for the design, implementation, enforcement, and modifications of Alabama Power’s overall compliance and employee concerns programs.  This includes ensuring that designated and qualified resources exist for each compliance risk area (team leaders and business unit coordinators), that overall compliance education/training is adequate for board members, executive management, facility/department management, and compliance personnel, and that all employee concerns are appropriately investigated and resolved.  Also chair of Company’s Investigative Review Committee (IRC) which provides oversight and cooridination of all company investigations.  Alabama Power provides electric service to 1.5 million customers in the State of Alabama, has total revenues of $6 billion dollars, and has 6,700 employees.  (2004 to Present)

Southern Company Generation Compliance Director – Overall Compliance Program coordination / management for Southern Company Generation.  Southern Company Generation is responsible for the management of the Southern Company’s Generation Fleet – over 80 generating plants producing over 42,000 megawatts of power.  (2002-2004)

Southern Company Internal Auditing - Compliance Director - As Compliance Audit Director, responsible for assessing compliance risks for Southern Company and for managing compliance audits of all Southern Company subsidiaries (environmental, safety and health, employment, etc.).  During audit career, performed and managed all types of audits including operational, financial, compliance, management requests, and fraud investigations.  Environmental auditing experience began in 1981.  (1975 – 2002)

Other Activities:

  • Board of Environmental Auditor Certification (BEAC) Board of Directors. (2002-2008)
  • American Chemistry Council Responsible Care Technical Oversight Board – Member of Board responsible for oversight of Responsible Care, 3rd party certification program within the U.S. Chemical Industry.(2003-2008)
  • Edison Electric Institute (EEI) Peer Review Program Director - Director of Peer Review Program that provides for the evaluation of a member utility’s environmental audit program. (1997-2000)
  • EEI Environmental Auditing Taskforce Vice-Chairman (1994-1996)
  • United States Energy Association - Part of delegation that conducted environmental management and auditing seminar for four Eastern Europe countries in Slovakia (1995) and in Atlanta (1996)

Education / Certifications

  • B.S. Accounting, University of Alabama
  • Certified Internal Auditor (CIA), Certified Professional Environmental Auditor (CEPA) and Certified Fraud Examiner (CFE)

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 positions 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.

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.

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.

Stephen C. King is Director of Global Investigations  for Google. In that capacity, he manages a global team of investigators and analysts who conduct information security and physical security investigations. He also has oversight of the Campus Assessment, Response and Education team (C.A.R.E.) which focuses on identifying individuals who might be at risk of harming themselves or others and preventing/mitigating such risks. Prior to joining Google, he was Senior Vice-President, Counsel, Investigations, within Mastercard’s Global Compliance & Ethics Team. In that role, he managed the overall Business Conduct Office and the Global Compliance Invesigations team.

Before MasterCard, Mr. King was Chief Compliance Investigator and Legal Senior Director for Critical Risk Areas for PepsiCo, Inc. Previously, Mr. King was senior counsel for Raytheon Company. Mr. King served as a federal prosecutor in the Eastern District of New York and the Director of Investigations & Law Enforcement in the White House Homeland Security Council. In 2006, Mr. King was confirmed by the U.S. Senate to serve a three-year term as a member of the Foreign Claims Settlement Commission of the United States, a quasi-judicial, independent agency within the Department of Justice, which adjudicates claims of U.S. nationals against foreign governments.

Earlier this year, Mr. King was named one of ComplianceWeek’s Top Minds of 2019, citing his work in investigation.

Mr. King graduated with a JD from Columbia University School of Law and earned his BA from Wesleyan University in Connecticut. He is a member of the Bars of the U.S. Supreme Court, Second Circuit Court of Appeals and the State of New York.

Win Swenson has been a partner in Compliance Systems Legal Group (CSLG), a law firm practicing exclusively in the areas of corporate governance, compliance and ethics, for the last 17 years.


As Deputy General Counsel at the U.S. Sentencing Commission (1990-1996), Mr. Swenson led the unit that developed the federal sentencing guidelines for organizations (FSGO), establishing the principal model for corporate compliance/ethics programs used in the U.S. 

From 1996-2000, Mr. Swenson led the compliance/ethics consulting practice of KPMG LLP in the U.S.

Both at CSLG and in his prior consulting work, Mr. Swenson has assisted organizations on a broad range of matters relating to compliance/ethics program management and evaluation.  This work has included:

  • Serving as an independent third-party monitor or consultant to companies pursuant to agreements with U.S. governmental agencies. Companies for whom Mr. Swenson has performed this role include WorldCom, Boeing and Halliburton.
  • Conducting evaluations of compliance/ethics programs for dozens of companies in about 40 countries.
  • Conducting compliance/ethics training for the boards of directors of many leading companies.

Work with Department of Justice

In addition to his work with public companies, Mr. Swenson has been retained directly by the U.S. Department of Justice to evaluate the compliance program of a publicly traded company that the government was deciding whether to charge criminally. 


Mr. Swenson obtained his J.D. from New York University School of Law where he was on the law review, a member of the Root-Tilden Scholarship Program, awarded the John Norton Pomeroy Award for Scholarship and elected to the Order of the Coif. 

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

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

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

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

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

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

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

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

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

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