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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 Stewart Hughes, Mary Dollarhide, Orrie Dinstein, Randi Roberts, Rebecca Walker, Seth M. Cohen, Stephen C. King, Timothy Heine, 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.


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

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

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

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

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


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

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

For many years Mr. Kaplan was Counsel to the Ethics Officer Association (now the ECI), a professional association of more than 1000 compliance/ethics officers.  He is, together with Joe Murphy, co-editor of Compliance Programs and the Corporate Sentencing Guidelines: Preventing Criminal and Civil Liability (West 1993), a leading legal treatise on designing and implementing compliance/ethics programs.  He is author of an e-book on risk assessment issued by Corporate Compliance Insights.   He is editor of the Conflict of Interest Blog.  He was for many years Adjunct Professor of Business Ethics at the Stern School of Business, New York University.  He is now a contributor to the Ethical Systems research project which is run by a professor at that school, and has recently co-authored an e-book for Ethical Systems on behavioral ethics and compliance. He is a member of the New York and New Jersey bars.


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

Education

  • 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.

Admissions

  • 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 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. 


Seth Cohen was most recently the Vice President & Managing Counsel for Global Compliance for ADP, LLC.  He was with ADP from January 2017 to June 2019.  Seth’s responsibilities included the day-to-day management of the Core Compliance team, with a particular focus on key activities such as compliance risk assessment, compliance technology enablement, monitoring, reporting and supporting policy, training and communication initiatives.  Prior to joining ADP, Seth was a Director with the Risk Management & Compliance Solution’s practice of PricewaterhouseCoopers (PwC) from 2014 to 2017.  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.  Most recently, Seth was one of the co-authors of PwC’s 2016 State of Compliance study as well as the PwC paper, Trends in compliance organizational structures.  Seth is a graduate of the Massachusetts Institute of Technology and the George Washington University Law School.


Tim Heine is Executive Vice President & Managing Counsel for American Express, and has oversight responsibility for the teams in the General Counsel’s Organization that provide primary legal support for several business units, including US Consumer, Corporate, and Merchant and Network Services, US Banking, Digital, Prepaid and Alternative Payments and Global Advertising and Brand Management.  His duties also include oversight of certain legal subject areas such as Bank Regulatory, Advertising and Insurance, and for federal and state legislative and regulatory monitoring and support.

Tim joined American Express in 1983.  Prior to that, he was associated with the law firm of Breed, Abbott and Morgan in New York City after clerking for the Chief Judge of the Federal District Court for the District of New Jersey.  He is a member of the bar in New York and New Jersey.

Tim received a B.S. in Economics in 1977 from the University of Pennsylvania’s Wharton School of Business and his J.D. degree in 1980 from Fordham Law School. 


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 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).


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

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

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


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, Europe & Russia. In his role, he has responsibility for directing GM's ethics and compliance program in the U.S., Canada, Europe and Russia. He supports management, employees, and business units in ensuring compliance with the U.S. Foreign Corrupt Practices Act, international anti-corruption laws, and GM policies. In 2016, Mr. Miller led a project to transform and re-write GM's Code of Conduct, Winning With Integrity.

Mr. Miller also serves as counsel to GM's 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.


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

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

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

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


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.

Experience

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. 

Education

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.