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Compliance & Ethics Essentials 2019


Speaker(s): Alan W. Gibson, Benjamin Gruenstein, Brian Kaplan, Carl T. Hahn, Debra Sabatini Hennelly, Dheeraj Thimmaiah, Eric F. Hinton, James C. Knapp, James Mariani, Janice L. Innis-Thompson, Jeffrey M. Kaplan, Joseph Muoio, Joseph E. Murphy, Kathryn S. Reimann, Kenneth A. Polite, Jr., Kimberly H. Zelnick, Michael R. Levin, Michael Ward, Paul E. McGreal, Rebecca Walker, Seth M. Cohen, Stephen C. King, Victoria V. Sweeney, William B. Sailer
Recorded on: Jul. 18, 2019
PLI Program #: 251754

MICHAEL WARD is Vice President, Chief Risk and Compliance Officer and Deputy General Counsel with Juniper Networks in Sunnyvale, California. He oversees enterprise risk management, corporate ethics and compliance, data privacy, procurement legal, trade compliance and legal operations. For over 16 years, Mr. Ward was an Assistant US Attorney with the U.S. Department of Justice specializing in the prosecution of fraud, public corruption, insider trading, money laundering and other white collar crimes.  He has previously established and led compliance programs at Target, McKesson, Adobe and Cisco. He was an attorney with Shearman & Sterling in both New York and San Francisco and served as a judicial law clerk to the Chief Judge of the US Court of Appeals for the Tenth Circuit.  He graduated from George Washington University Law School in Washington, D.C. and is also a graduate of the University of Minnesota School of Business and Economics.


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

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

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

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

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


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

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

 


CARL T. HAHN is Vice President and Chief Compliance Officer for Northrop Grumman Corporation a leading global security company providing innovative systems, products and solutions in unmanned systems, cyber, C4ISR, and logistics and modernization to government and commercial customers worldwide.  Mr. Hahn graduated from the College of William and Mary and University of Virginia School of Law.  He is admitted to the Washington D.C., New York and Virginia State Bars. 

As Chief Compliance Officer for Northrop Grumman, Mr. Hahn is responsible for leading the enterprise-wide compliance function, ensuring the Company has the right policies, procedures and practices in place and that they are effectively implemented globally. His Office helps to identify and address gaps, and partners with functional and business leads to deploy the right talent and resources to implement compliance strategies. The Office is also responsible for ensuring the Company responds effectively to changes in the regulatory environment, evaluating controls and processes; developing and conducting training programs regarding applicable laws and regulations, policies and procedures; collecting and analyzing corporate compliance data; monitoring results; providing feedback to business units regarding their compliance activities; and reporting to the CEO and the Audit Committee of the Board.

Prior to joining Northrop Grumman, Mr. Hahn was an Associate General Counsel and Trust and Compliance Officer with IBM where he was responsible for IBM's compliance program across the United States, South America and Europe. In that role, he also helped to manage the company's investigations worldwide. Mr. Hahn held various other positions at IBM, including in corporate litigation, as assistant general counsel in Japan, and providing counsel to IBM's federal government business.


Debbie Hennelly founded Compliance & Ethics Solutions--now known as "Resiliti"--in 2004.  She has spent more than 25 years developing and implementing compliance and ethics programs for organizations, ranging from small companies to some of the largest multinationals.  Using her legal expertise in combination with her engineering background, she guides organizations and their senior leadership teams with innovative approaches to ethics and compliance program development and oversight, dynamic risk assessment and management, creating and sustaining a culture of integrity and ethical leadership, and strengthening competitive resilience. 

Debbie’s unique ability to “right-size” an organization’s strategy is derived, in part, from a proprietary approach to integrating risk and cultural insights into an organization’s strategic planning, operations and leadership framework. 

Along with her talented Resiliti colleagues, she develops and facilitates interactive training programs to help ensure employee assimilation, and creates codes of conduct, processes and other tools to help organizations advance a “speaking up” culture grounded in ethical leadership and more conscious decision-making. 

Debbie is also a prolific writer and lecturer.  She has served as adjunct faculty for BP, facilitating small-group workshops in ethical leadership, as well as leading interactive learning with employees, managers, senior leaders and board directors for other publicly-traded and privately-held companies and organizations. 

As the movement for more responsible business practices has matured, Debbie and her colleagues have been facilitating learning experiences that address the competitiveness issues companies are grappling with now, such as:  the role of diversity and inclusion in employee retention and value creation; the impacts of the #MeToo movement; and the stakeholder expectations for next-generation executive leadership and governance models.

Debbie has served as general counsel and chief compliance officer for two privately-held chemical companies, Sonneborn and PeroxyChem, during transitional periods for both companies, reporting directly to their CEOs and meeting quarterly with their Boards of Directors.  Debbie’s experience holding senior in-house roles in public and private companies, as well as her working in two ethics and compliance specialty service providers, has enabled her to acquire an uncommon perspective on both sides of the client/vendor relationship. 

            Earlier in her career, she spent more than ten years in legal and compliance roles at AT&T, Lucent Technologies, Avaya, BP and Avon Products, with responsibilities ranging from implementing environmental and safety management systems to leading global compliance and ethics programs.  She also advised other multinational companies on compliance and ethics program implementation while serving as vice president and general counsel of Integrity Interactive (now part of SAI Global), and as a senior knowledge leader with LRN.

Prior to her in-house roles, Debbie spent five years practicing environmental law with Bryan Cave in Washington, DC, and Riker Danzig in New Jersey.  Before earning her law degree, she was a civil/environmental engineer and supervised construction for Exxon Company, USA.

She is a past Chair of the Association of Corporate Counsel’s Environmental Law Committee, past Assistant Chair of ACC-Europe’s Compliance & Ethics Committee, and currently serves as a member of the Alumni Association Advisory Committee at the University of Virginia School of Law.

Debbie earned a B.S.E. in Civil and Environmental Engineering from Duke University, and a J.D. from the University of Virginia School of Law.


Dheeraj is the Global Director Ethics & Compliance heading Compliance Analytics in ABInBev. With experience in designing and operationalizing enterprise compliance products focusing on ABAC and FCPA risks.

He is a strong believer on what organization do with their data will harness and power them in the digital age. This not only applies to functions like Sales and Marketing but to Compliance and Legal to drive transparency, protect their organizations and enable qualitative ways to identify, prioritize and remediate risks in an adaptive nature.


Eric F. Hinton is the inaugural Director of the Robert B. Rowling Center for Business Law & Leadership and an adjunct professor of law at SMU Dedman School of Law. He has over 10 years of experience teaching international business law, European Union law, and ethics and compliance at SMU Dedman School of Law, Loyola Chicago University School of Law, and the John Marshall Law School. Eric also lectures regularly in the MBA programs at the University of Texas at Dallas, Jindal School of Management.

With over 20 years of experience in international business law matters, he has worked for two public Fortune 500 companies and two privately owned companies in Illinois, Texas, and Brussels, Belgium. Eric began his career practicing international trade law in Washington, DC, with the law firm Gibson Dunn. He is the founder and past chair of the North Texas Ethics & Compliance Council and past chair of the ABA Export Controls and Economic Sanctions Committee.

Eric holds an LL M from the University of Leiden Law School (The Netherlands), a JD from BYU Law School, an MA from the University of Limerick (Ireland), and a BA from Utah State University. He studied international business law at the Sorbonne in Paris, France. Eric has published a number of scholarly articles on international law and compliance topics, including at Columbia University, NYU, SMU, and the University of Texas at Austin.

 


James Knapp is the Investigations Director in the Ethics Office of the Compliance Department at Freddie Mac, where he has worked since 2012. In that time, Mr. Knapp has conducted several hundred internal investigations on topics ranging from fraud to business courtesies issues to HR-related matters. He also oversees Freddie Mac’s Foreign Corrupt Practices Act program, provides training to new employees, managers, and officers, and creates informational outreach materials to promote the company’s ethics program.

Prior to joining Freddie Mac, Mr. Knapp spent five years as a litigator with the law firm of Latham and Watkins in Washington, DC, where he practiced in the firm’s White Collar and Government Investigations practice group. His practice focused on accounting fraud and international corruption, with an emphasis on Foreign Corrupt Practices Act matters.

Mr. Knapp holds a Bachelor of Arts degree and a Juris Doctor degree magna cum laude from the University of Michigan. He is admitted to the Bars of Michigan and Washington, DC and is a Corporate Counsel member of the Virginia Bar. Mr. Knapp is a Certified Compliance and Ethics Professional.


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.


Joseph Muoio is an Assistant Chief in the New York Office of the Antitrust Division. He has spent more than 25 years with the Antitrust Division including over 15 years as Assistant Chief of the Philadelphia Office. He also has been detailed twice to the U.S. Attorney's Office for the District of New Jersey as a Special Assistant U.S. Attorney and detailed once to the CFTC's office in New York.  Joe began his career as an associate with Baker & Hostetler in Washington, D.C. after receiving his J.D. from the University of Pennsylvania Law School.


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.


Kenneth A. Polite is a partner in the Philadelphia and New York offices of Morgan, Lewis & Bockius LLP, focusing on white collar litigation, government investigations, and corporate compliance.  A graduate of Harvard University and Georgetown University Law Center, Kenneth has previously served as:

  • the United States Attorney for the Eastern District of Louisiana, based in his hometown of New Orleans;
  • an Assistant U.S. Attorney, Criminal Division, for the Southern District of New York; and
  • the Chief Compliance Officer for Entergy Corporation, a Fortune 500 company headquartered in New Orleans.

While U.S. Attorney, Kenneth was appointed by Loretta Lynch to the Attorney General’s Advisory Committee.  A former law clerk for the Honorable Thomas L. Ambro of the U.S. Court of Appeals for the Third Circuit, Kenneth was recently selected as the Third Circuit representative to the ABA’s Standing Committee on the Federal Judiciary.


Kim Zelnick is a partner in Freshfields’ global investigations and complex litigation practice group, based in New York.

Kim focuses her practice on the defense of white-collar criminal and SEC enforcement investigations and related civil litigation. She represents institutions and individuals in global investigations involving allegations of bribery, fraud, market manipulation, money laundering, tax evasion, cartel and other anticompetitive activity.

Kim is also the global co-head of Freshfields’ sanctions and trade group and regularly advises clients on US economic sanctions and export controls, as well as matters related to FCPA compliance. In addition, she regularly advises on issues related to data privacy and cybersecurity.

Kim currently acts for a global bank in a wide-ranging DOJ and SEC bribery/AML investigation arising from multi-billion dollar loans to Mozambique.  She has represented several global banks in multijurisdictional investigations involving allegations of price-fixing and market manipulation in the LIBOR, Foreign Exchange and Precious Metals markets. Kim also won a high-profile acquittal for former UBS Senior Executive Raoul Weil in the US government’s criminal tax case against him.

Kim received her JD from the Yale Law School and her BA, magna cum laude, from Williams College. After graduating law school, she served as a law clerk to the Honorable José A. Cabranes of the US Court of Appeals for the Second Circuit.


Michael Levin is the Vice President of Compliance & Ethics at Freddie Mac overseeing the Ethical Conduct, Anti-Money Laundering, OFAC & Sanctions, Fraud and Diversity & Inclusion compliance programs, leading team of compliance professionals and corporate investigators, and setting the strategy to manage and mitigate those risk areas across the Freddie Mac enterprise. This includes the Compliance & Ethics Helpline, the Code of Conduct and associated policies, Employee Trading controls, AML/OFAC programs, Fraud oversight and corporate investigations of non-accounting matters.  Levin serves as a member of Freddie Mac’s Diversity and Inclusion Steering Committee. Levin was also acting chief privacy officer for much of 2018.

Previously, Levin served as director of Ethics and Business Conduct for The Boeing Company, managing the ethics program for Boeing’s Government Operations and International business areas. A member of the EBC leadership team, he led several teams of ethics professionals located across the Boeing enterprise to address ethics-related matters within the businesses, to provide advice and guidance, and to help foster an open and accountable work environment.  While at Boeing, Levin served on the Defense Industry Initiative Working Group, the International Forum on Business Ethical Conduct Steering Committee, and was a member of the Ethics Resource Center Fellows Program.

Levin joined Boeing in 2011 after serving as the director of Ethics and Business Conduct for BAE Systems’ Electronic Solutions Sector.  At BAE, Levin established a team of 15 local ethics officers and managed all the ethics initiatives within Electronic Solutions, including oversight of ethics investigations.  Levin also served on the Electronic Solutions Leadership Team and the BAE Systems, Inc. Ethics Working Group to develop, establish, and lead the ethics program across all of BAE Systems, Inc.

Before joining BAE, Levin spent nearly 10 years at Integrity Interactive Corp., where as vice president, Compliance Solutions, he developed and brought to market solutions to reduce risk amongst third party business partners.  He also consulted to shape the compliance and ethics programs of more than 100 client companies. From 1995 to 2001, Levin practiced law in Boston, focusing primarily on litigation.

Levin earned a B.A. degree from the University of Maryland and a J.D. degree from the Massachusetts School of Law and is licensed to practice law in the federal and state courts of Massachusetts.  He has lectured extensively at industry and legal association conferences, and he has published or been quoted in articles in Forbes Insights, Compliance and Ethics Professional, The Metropolitan Corporate Counsel, Business Week (online), The Sarbanes-Oxley Compliance Journal, and Inside Supply Management magazines. Michael holds the Certified Compliance and Ethics Professional (CCEP) and the Certified Anti-Money Laundering Specialist (CAMS) certifications, and sits on the board of the Capital Area Business Ethics Network (CABEN).

Levin resides in Bethesda, Maryland with his wife Taya, their son and daughter, and dog, Fenway.


Mr. Mariani handles regulatory, operational, and transactional matters related to data privacy, security, and incident response as part of the Privacy and Data Security Group at Frankfurt Kurnit Klein & Selz. He advises on a wide variety of technology-based and digital media issues at the crossroads of business, law, and technology. For instance, Mr. Mariani is currently counseling clients regarding compliance with the General Data Protection Regulation (GDPR) and the forthcoming California Consumer Privacy Act (CCPA), coordinating correspondence among client business, design, IT, management, and legal teams. This work can range from managing the practical effect of gaining user consents on UI/UX to assessing risk in strategy when creating processes for handling data subject access requests (DSARs). 

In his data security incident response practice, Mr. Mariani draws on his investigative background as a former cybercrimes prosecutor to help clients navigate forensic investigation and regulatory requirements including notification requirements. Mr. Mariani also assists clients on the preventative side of data breach by drafting information security policies and incident response plans. 

Mr. Mariani earned a Master of Laws at Cornell Tech focused on the intersection of product development and law in technology transactions such as IP licensing and data ownership, high growth corporate transactions related to VC funding, and product development including privacy by design, security by design, product management, and UI/UX design. He deploys this expertise in advising on data transfer, data and IP licensing, consent flows, consumer interaction and protection, regulatory enforcement, and pre-litigation investigation and dispute strategy. 

Prior to joining Frankfurt Kurnit, Mr. Mariani worked as an Assistant District Attorney at the Kings County District Attorney’s Office, where he prosecuted cybercrime and complex fraud — leading multiple long-term investigations to indictment and arrest. His practice included investigation and litigation focused on computer intrusion, identity theft, finance, healthcare, labor, and real estate. He has tried bench and jury trials in criminal, supreme, and federal court.

Mr. Mariani is certified as an Information Privacy Professional in U.S. specific laws (CIPP/US) as well as that of the European Union (CIPP/E), and is admitted to practice in New York. He has an LLM issued by Cornell Law School, a professional graduate certificate in cybersecurity from Harvard University, a JD from the University of Illinois College of Law, and both a Bachelors in Science as well as in Arts from the CUNY Macaulay Honors College


Paul E. McGreal is a Professor of Law at the Creighton University School of Law. He came to Creighton in July 2015, as dean of the School of Law, and he served in that position through July 2017. He is Compliance Adviser to the Omaha Business Ethics Alliance, and he teaches a course on leadership and conflict engagement in Creighton’s Master’s program in Negotiation and Conflict Resolution.

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

Professor McGreal was previously dean of the University of Dayton School of Law from 2011 to 2014.  Before that, he was associate dean and professor of law at Southern Illinois University School of Law, where the graduating class voted him the Senior Class Award in 2008, 2009, and 2010.

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

Professor McGreal is a frequent speaker and commentator on corporate compliance and ethics programs, and he authors an annual survey of legal developments on the subject for The Business Lawyer, published by the Business Law Section of the American Bar Association. He has also published over 40 articles and essays in law journals at schools including University of Notre Dame, Northwestern University, and the University of Pennsylvania.

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

 

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


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.


Benjamin Gruenstein is a partner in Cravath’s Litigation Department and a member of the Firm’s Investigations and White Collar Criminal Defense practice.  His  practice focuses on the representation of U.S. and multinational companies and their senior executives in government and internal corporate investigations in such areas as the Foreign Corrupt Practices Act (“FCPA”), healthcare fraud, insider trading, criminal antitrust, accounting fraud and trade sanctions, and accompanying civil litigation. Mr. Gruenstein has handled both domestic and cross-border investigations, including in Latin America, Asia, and Europe.

Prior to joining Cravath, Mr. Gruenstein served as an Assistant U.S. Attorney in the Criminal Division of the U.S. Attorney’s Office for the Southern District of New York from 2002 to 2008. He returned to Cravath in 2008, and became a partner in 2012.

Mr. Gruenstein is a fellow of the American Bar Foundation.  Mr. Gruenstein has been recognized for his white collar criminal defense work by Benchmark Litigation (2016-2018) and The Best Lawyers in America (2016-2018). He has also been recognized by The Legal 500 United States for white collar criminal defense work (2016 2018), securities litigation and related regulatory enforcement matters (2015 2017) and for his experience in the media and entertainment industry (2017-2018).  From 2013 through 2018, Mr. Gruenstein was selected by Lawdragon as one of “500 Leading Lawyers in America.” He and his colleagues earned the Firm a top tier ranking for Criminal Defense: White Collar in the U.S. News Best Lawyers “Best Law Firms” survey in 2018, as well as recognition in the investigations and criminal defense categories of both Chambers USA (2015-2018) and Legal 500 US (2016-2018) and the FCPA category of Chambers USA (2018).  In 2014 and 2015, Mr. Gruenstein was named one of Ethisphere Institute’s “Attorneys Who Matter” and in 2013, he was recognized as one of five Law360 “Rising Stars” in the nation in the White Collar category.

Mr. Gruenstein received an A.B. summa cum laude in Philosophy and Mathematics from Harvard College in 1996, where he was elected to Phi Beta Kappa, and a J.D. magna cum laude from Harvard Law School in 1999, where he was an Editor of the Law Review.  After graduating from law school, Mr. Gruenstein clerked for the Honorable Stephen F. Williams of the U.S. Court of Appeals for the D.C. Circuit and for the Honorable David H. Souter of the U.S. Supreme Court.   


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


Vicki manages the Ethics and Compliance Group at KPMG LLP.  She and her staff are responsible for ensuring compliance with firm policies and procedures, professional standards and regulations, and enhancing the firm’s ethical culture. 

Roles and Responsibilities:

  • Maintains the firm’s Code of Conduct and related compliance initiatives;
  • Actively manages and monitors Ethics and Compliance hotline reports and retaliation monitoring process;
  • Develops and implements firm-wide Ethics and Compliance training and communications;
  • Monitors compliance with professional licensing and continuing professional education requirements for CPAs and other related compliance monitor functions.

She is a frequent presenter at ethics and compliance conferences and is a member of the ECI Fellows Program.

  • B.A. degree in Government and Business from Skidmore College and a J.D. from New York Law School.
  • Former Member of the board of directors of the Ethics & Compliance Initiative (2011-2017).


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.


Alan Gibson is an Assistance General Counsel in Microsoft’s Office of Legal Compliance.  Currently serving as a thought leader and change agent in applying digital solutions to modernize how companies manage compliance risks and measure program effectiveness (e.g., data analytics, machine learning, artificial intelligence, robotic process automation, and blockchain). Striving to become a "digital compliance officer."  During his 16 years at Microsoft, he has served in a variety of legal, compliance, and business roles including providing legal advice to sales, marketing, and product teams; while also working in business development, product development, and commercial operations teams.  Before joining Microsoft, Alan was an associate at Orrick, Herrington & Sutcliffe where he focused on corporate finance, securities, and M&A.  Before law school, he worked in a variety of sales and marketing roles for public and private companies--including a sales company that he founded before selling it to attend law school.  Alan received his B.A. from Whitman College, and J.D. and M.B.A. from Seattle University.