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Advanced Compliance and Ethics Workshop 2019


Speaker(s): Alfred Rosa, Allen W. Chiu, Carrie Penman, David Pitluck, Jack Holleran, Jeffrey Eglash, Jeffrey M. Kaplan, Jim Nortz, Joel Katz, Joseph Alesia, Mary H. Dontzin, Matthew Pachman, Michael Sevi, Paul E. McGreal, Rachel L. Gerstein, Stacey Babson-Smith, Stephen C. King
Recorded on: Oct. 28, 2019
PLI Program #: 253286

Allen W. Chiu is Senior Vice President, Chief Compliance Officer and Associate General Counsel, Litigation for Genesys.  In that role, Allen is responsible for the end-to-end management of Genesys’ ethics and compliance program, which includes overseeing its global anti-corruption/anti-bribery and trade compliance programs, as well as its litigation docket worldwide. 

Before joining Genesys, Allen was an Assistant United States Attorney with the U.S. Department of Justice, where he served in the National Security and Criminal Divisions of the U.S. Attorney’s Office for the Central District of California.  In March 2016, Allen was selected by the Daily Journal and California Lawyer magazine to receive the California Lawyer of the Year Award in the National Security category.  Prior to becoming a federal prosecutor, Allen was an Associate with Latham & Watkins LLP. 

Allen is a graduate of the UCLA School of Law, where he served as a Managing Editor of the UCLA Law Review.


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

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

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

 

 


Jeffrey Eglash is Vice President, Deputy Chief Legal Officer, and Chief Compliance Officer for Nokia, one of the world’s leading telecommunications equipment and technology companies. He is responsible for Nokia’s global ethics and compliance program.

Before joining Nokia, he served as Global Executive Litigation Counsel for General Electric Company in Fairfield, Connecticut, where he was responsible for litigation, compliance, and internal investigations.  Previously, Jeff was a partner at an international law firm, where he represented individuals and organizations in civil, criminal, and regulatory enforcement proceedings, and conducted internal corporate investigations.

From 1999 to 2002, Jeff served as Inspector General of the Los Angeles Police Department. From 1987 to 1999, Jeff was an Assistant United States Attorney in Los Angeles.    He served in a number of supervisory positions, including Chief of the Public Corruption and Government Fraud Section, where he prosecuted and supervised cases involving fraud against the government, official corruption, civil rights, environmental crimes, and other offenses.

Jeff graduated from college and law school at the University of California, Berkeley.


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.


Joel has worked in corporate legal and compliance roles for the past 20 years.  He has significant experience building structures, programs and training that promote cultures of integrity and compliance and drive high levels of employee engagement.

Joel most recently served as the Chief Integrity and Compliance Officer for Resideo Technologies, Inc., (NYSE – “REZI”) a publicly traded global homes and distribution business with $4.8B in revenue and 14,000 employees that spun-off from Honeywell in 2018.  At Resideo Joel developed a comprehensive compliance plan for the first 24 months post-spin that included a robust risk assessment, a new Code of Conduct, a new investigation process that drove greater accountability to the business while reducing investigation cycle times and a training and communications plan to establish the correct “tone at the top” and increase employee engagement on integrity and compliance issues.

Previously, Joel held several leadership positions with CA, Inc. (NASDAQ – “CA”), a $4.5B publicly traded global provider of business software and professional services that was acquired by Broadcom, Inc. (NASDAQ - “AVGO”) in 2018.  Joel most recently served as CA’s Chief Ethics and Compliance Officer from 2011-2018 and built the Compliance Program that directly contributed to CA being named one of the “World’s Most Ethical Companies” by the Ethisphere Institute for four consecutive years.  Earlier in his tenure with CA, Joel played a critical role in CA’s successful completion of a Deferred Prosecution Agreement with the federal government stemming from a corporate accounting scandal.  Joel worked closely with CA’s court-appointed independent monitor throughout the DPA, including traveling around the world to evaluate compliance risk and conduct “tone at the top” interviews of company leadership.

Joel began his career with Williams Mullen L.L.P. (formerly Maupin Taylor & Ellis, P.A.), a full-service law firm with practice areas across diverse industries. He devoted his practice to representing management in labor and employment-related legal issues.

Joel earned his Juris Doctor with distinction from Hofstra University School of Law and his Bachelor’s degree from the University of Michigan. He serves as a Member of the Board of Directors (2014 to present) of the Ethics and Compliance Association (ECA); is a Kallman Executive Fellow of the W. Michael Hoffman Center for Business Ethics at Bentley University and is a frequent speaker and author on issues related to business ethics, corporate compliance and law department leadership. 

Joel was selected as a 2016 “Top Mind” by Compliance Week Magazine - “some of the brightest and most influential thought leaders in the world of governance, risk, and compliance” and was recognized as a top Ethics & Compliance Officer by the Ethisphere Institute in 2013.


Mary is the Head of Regulatory and Business Group Compliance at Nokia.  In her role, Mary leads the regulatory legal team and oversees the design and implementation of Nokia’s ethics and compliance program across all of Nokia’s business groups.  Mary and her team work to proactively identify and mitigate critical regulatory compliance risk across Nokia and forge strong, collaborative partnerships with business leaders and other key stakeholders. Mary previously served as head of compliance for individual Nokia business groups, and before that, as lead compliance counsel for North America.  Before joining the Ethics & Compliance organization, Mary served as corporate counsel, managing commercial litigation and counseling business clients.

Mary previously worked as an associate, and then partner, at Friedman & Wittenstein in New York.  She is a graduate of Cornell University and Fordham School of Law.


Matt Pachman is the Chief Risk & Compliance Officer at FTI Consulting, Inc. He also recently served as Chairman of the Board of the Ethics & Compliance Association. Prior to joining FTI Pachman was the Chief Compliance Officer at Altegrity, Inc. and the VP, Compliance - Ethics and Business Practices at Freddie Mac.  Prior to joining Freddie Mac, Pachman served as the Chief Ethics Officer at MCI, appointed by the General Counsel following revelation of fraud by former WorldCom executives. He had previously served in MCI WorldCom's Legal department.  Before joining MCI, Pachman was a lawyer in the Washington office O'Melveny & Myers LLP and served as a law clerk to the Honorable Karen LeCraft Henderson of the U.S. Court of Appeals for the D.C. Circuit. Pachman earned a JD from the University of Virginia where he was on the law review, and an undergraduate degree from Wesleyan University. 


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

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

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

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

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

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

 

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


Rachel Gerstein is the Executive Director & Senior Compliance Counsel, E&C Training and Communications at Avon Products, Inc.  In that role, she is responsible for the continuous improvement of the Ethics & Compliance program.  Her responsibilities encompass Training & Communications, Culture & Tone at the Top, Program Governance, Risk Assessment, Monitoring, and compliance with the law, the Code of Conduct and Avon policies.

Recently, Rachel has spoken at the following:

  • Practicing Law Institute: Advanced Compliance & Ethics Workshop 2017
  • Ethics & Compliance Institute: Spring Best Practice Forum 2017
  • Practicing Law Institute: Advanced Compliance & Ethics Workshop 2015

Prior to coming to Avon, Ms. Gerstein was Senior Counsel at Akin Gump Strauss Hauer & Feld, LLP.  As a litigator, she handled complex litigations and investigations, including those involving the Foreign Corrupt Practices Act, breach of contract, and securities fraud.  She began her legal career at Weil Gotshal & Manges, LLP.

Ms. Gerstein graduated from the University of Pennsylvania Law School, where she currently serves on the Compliance Advisory Board.  She holds a B.A. from the University of Michigan.

Ms. Gerstein graduated from the University of Pennsylvania Law School, where she was an Editor of the Journal of International Law and a member of the Student Moot Court Board.  She holds a B.A. from the University of Michigan.


Jim Nortz is an attorney and a nationally recognized expert and thought leader in the field of business ethics and compliance with over a decade of experience in the field of healthcare compliance serving multinational pharmaceutical and medical device corporations.

Jim spent the first 17 years of his career as a litigator and corporate counsel before becoming Crompton Corporation’s first Vice President, Business Ethics and Compliance in 2003.

Since then, Jim has served as a compliance officer at Crompton and for five other multinational corporations, the most recent of which was as Chief Compliance Officer at Carestream Health. Jim has extensive experience in implementing world-class compliance and ethics programs sufficiently robust to withstand US Department of Justice scrutiny.

Jim is a frequent guest lecturer at the University of Rochester’s Simon School of Business, RIT’s Saunders School of Business, St. John Fisher College, Nazareth College and other law schools and universities around the country.

Jim writes the monthly business ethics columns for the Association of Corporate Counsel Docket magazine and the Rochester Business Journal.

Jim is a member of the National Association of Corporate Directors and serves on Conscious Capitalism ROC’s Steering Committee. Previously, Jim served on the Board of Directors for the Ethics and Compliance Officers Association (“ECOA”) and the Board of the Rochester Area Business Ethics Foundation.

Jim is currently Founder & President, Axiom Compliance & Ethics Solutions LLC, a firm dedicated to driving ethical excellence by helping organizations implement effective compliance and ethics programs.

 


Joe joined Nokia in April 2018.  As a member of the Business Integrity Group, Joe conducts high stakes, internal investigations, conducts compliance risk assessments around the globe, manages the investigations triage process, and created and deployed Nokia’s dawn raid guidance for all employees, as well as an advanced investigations training academy    

Prior to joining Nokia, Joe held similar positions with GE and Baxter International.  He also worked as a Managing Director at a cyber forensics and investigations firm for 2 years.  Joe’s experience includes nearly 18 years as a prosecutor in Chicago, where he served in both the state and federal criminal justice systems.

Joe also served as a Lecturer in Law at the Law School of the University of Chicago for 5 years, where he taught a legal ethics course for second and third-year students entitled “Ethical Quandaries in Legal Practice.”  In addition, he has extensive experience teaching at the U.S. Department of Justice’s National Advocacy Center, as well as prior speaking engagements focused on investigations and compliance from an in-house counsel’s perspective.


Michael Sevi is the Deputy Chief Compliance Officer of Marsh & McLennan Companies, a Fortune 200 company with over 70,000 employees, 16 billion in revenue and operations in over 130 countries.  He has global responsibility for internal investigations, anti-corruption and compliance policies, training and monitoring.  Before joining MMC, Michael served as a Deputy Chief of Staff to the Governor of Florida overseeing insurance, banking and pension policy.  Previously, he served as the Governor’s Assistant General Counsel and Chief Ethics Officer.  He represented the Governor before the Florida Commission on Ethics and acted as legal counsel to the state’s Chief Inspector General.  Michael began his career in the Washington, D.C. office of Hogan Lovells, working in both the litigation and internal investigations groups.  He graduated from Dartmouth College and Harvard Law School.


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.


Stacey Babson-Smith is the global leader of the Terex ethics and compliance and t global trade team.  Stacey joined Terex Corporation in October, 2002 as Corporate Counsel, HR Compliance.  Stacey was subsequently promoted to Vice President Deputy General Counsel, Employment & Global Diversity where her responsibilities included oversight of all labor and employment matters world wide, employee health and safety, immigration and diversity. In this role, Stacey also spent time working with and training Terex employees about conducting business responsibly.  In March 2008, she was promoted to Vice President, Chief Ethics & Compliance Officer and in 2017 was appointed to the Terex Executive Leadership team.

In 1986, Ms. Babson-Smith began has practicing law in New York & Connecticut based law firms.  Her practice included representing management in labor and employment related litigation and advice counseling.  Ms. Babson-Smith also taught labor relations as an adjunct professor for Baruch College, City University of New York, has been a speaker at conferences and co-authored several articles.  Ms. Babson-Smith is a legal volunteer for the Pro Bono Partnership, a leading provider of free business legal services, educational workshops and other legal resources to nonprofit community-based organizations in the New York metro and Fairfield County Connecticut area.

Terex Corporation is a diversified global manufacturer that operates in two business segments: Aerial Work Platforms and Materials Processing. Terex offers a complete line of financial products and services to assist in the acquisition of Terex equipment through Terex Financial Services.  More information on Terex can be found at www.terex.com.


As one of the world’s earliest ethics officers, Carrie Penman has been with NAVEX Global since 2003 after serving four years as deputy director of the Ethics and Compliance Officer Association (ECOA). A scientist by training, she developed and directed the first corporate-wide global ethics program at Westinghouse Electric Corporation from 1994-1999. As Chief Compliance Officer for NAVEX Global, she oversees the company’s internal ethics and compliance activities employing many of the best practices that NAVEX Global recommends to its customers.

Carrie has conducted numerous training programs for client Boards of Directors and executive teams, as well as culture and program assessment projects throughout the UK, Europe, Australia, India, and the US. She has also served as a corporate monitor and independent consultant for companies with government settlement agreements.

Carrie is the author of numerous compliance related articles and commentary and is regularly featured or quoted as a compliance expert in the press. Carrie was featured in the Wall Street Journal’s Risk and Compliance Journal and on the cover of Compliance Week magazine. Carrie is a recognized expert in the area of hotline reporting and is the author of NAVEX Global’s annual Hotline Benchmark Report which evaluates data from nearly one million hotline reports annually. She has also published on best practices in benchmarking and monitoring for retaliation.

Carrie is an Executive Fellow at the Bentley University Center for Business Ethics. She has previously served on the ECOA Board of Directors and its Executive Committee; participated as an advisor for the research project on Ethics Programs: the Role of the Board, conducted by The Conference Board; and served on the Advisory Board for the Duquesne University, Beard Center for Leadership in Ethics.

Carrie is a regular speaker at leading ethics and compliance conferences and events. She is an 18-year member of the faculty of the Managing Ethics in Organizations course that is co-sponsored by ECI and the Center for Business Ethics at Bentley University.

In 2017, Carrie received the Ethics & Compliance Initiative (ECI) Carol R. Marshall Award for Innovation in Corporate Ethics for an extensive career contributing to the advancement of the ethics and compliance field worldwide and was a finalist in the Women in Compliance Lifetime Achievement Award for 2018.

A graduate of Purdue University, Carrie holds a Bachelor of Science degree in textile science.


David Pitluck is a Deputy Chief of the Business and Securities Fraud Section at the United States Attorney’s Office for the Eastern District of New York.  David has investigated and prosecuted a wide variety of criminal matters against both individuals and entities, including fraud involving publicly-traded companies, securities fraud, investment adviser fraud insider trading, mortgage fraud, market manipulation, tax crimes, money laundering, cyber-enabled crime and violations of the Foreign Corrupt Practices Act.  Prior to his appointment to the Business and Securities Fraud Section, David prosecuted and tried multiple cases involving violent criminal enterprises, resulting in several defendants’ convictions of murder and firearm- and narcotics-related offenses.

Prior to joining the United States Attorney’s Office, David was a litigation associate at Davis Polk & Wardwell in New York; served as a Special Assistant District Attorney for the Kings’ County District Attorney’s Office; and worked as an investment banker in New York.  David received his J.D. from Columbia Law School, his B.A., summa cum laude, from the University of Pennsylvania, and an MSc and LLM from the London School of Economics and Political Science.