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Compliance & Ethics Essentials 2021

Speaker(s): Andrew McBride, Andrew Price, Gina Saviola, Jeffrey M. Kaplan, Kimberly Strong, Nancy Higgins, Paul E. McGreal, Ravi Inthiran, Rebecca Walker, Ronnie Kann, Theodore L. Banks, Tiffany A. Archer, Timothy J. Lucey, William B. Sailer
Recorded on: Jun. 28, 2021
PLI Program #: 305422

Andrew is a senior counsel in Google's Office of Compliance and Integrity based in San Francisco, California. The team’s core mission involves leading a risk and compliance ecosystem that is focused on a culture of integrity and issue prevention, detection, and resolution through expert-based advisory, effective governance, and oversight. In his role, Andrew focuses on leading the team's global internal investigations function, managing the Company's anonymous helpline, and providing advice and counsel on topics such as attorney-client privilege, confidentiality, conflicts of interest, proper use of company assets, insider trading, and other compliance-related matters. Andrew joined Google in August 2011. Before Google, Andrew was in private practice with the Washington, DC law firm of Arnold & Porter LLP where he focused on securities enforcement defense and litigation. Prior to joining Arnold & Porter, Andrew was an Assistant U.S. Attorney in the Eastern District of Virginia and a Civil Division attorney at the U.S. Department of Justice. Andrew received his J.D. from the University of Pennsylvania Law School and received his B.S. from Duke University.

Andrew is Chief Compliance Officer at Albemarle Corporation, based in Charlotte, North Carolina. Amongst other things Albemarle is the world’s largest producer of lithium. Andrew has over 20 years of compliance experience in the natural resources sector, both in private practice and in-house. Prior to Albemarle, he previously served as Associate General Counsel and acting Chief Compliance Officer for BHP and before that senior antitrust counsel for BP. Andrew is admitted to practice law in California, England and Western Australia. He is also a Certified Ethics & Compliance Professional, a Certified Fraud Examiner and Certified Information Privacy Professional.

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

Bill has served in leadership positions in numerous business and charitable organizations, including:

Professional Organizations

  • The Association of Corporate Counsel (Director, Executive Committee)
  • The California Employment Law Council (President/Director)
  • The American Employment Law Council (Advisory Board)
  • State Bar of California Labor & Employment Law Section (Executive Committee);
  • San Diego County Bar Association Labor & Employment Law Section (Chair)
  • J. Clifford Wallace Inn of Court (Founding Master/Executive Committee)

Community Organizations

  • The Legal Aid Society of San Diego (President/Director)
  • The San Diego County Bar Foundation (Director/Executive Committee)
  • Rady Children’s Hospital Foundation of San Diego (Chair/Trustee)
  • Voices for Children (Director/Board Chair)
  • The National Conflict Resolution Center (Director/Board Chair)
  • The Junior Seau Foundation (Director/Executive Committee)
  • The Rolf Benirschke Legacy Foundation (Executive Committee)
  • Kids Included Together, Inc. (Director/Executive Committee)
  • Swarthmore College President’s Council/Council on Presidential Initiatives

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

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

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

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

Gina Saviola is Vice President and Deputy General Counsel, Ethics and Compliance at Jacobs, an international technical professional services firm, headquartered in Dallas.   Gina is based in Los Angeles and has over fifteen years of in-house experience managing global compliance programs.   Gina previously worked for Occidental Petroleum Corporation and Sumitomo Electric Industries.  Prior to going in-house, Gina was an attorney in the enforcement division of the Securities and Exchange Commission.  She began her career in white collar criminal defense.  Gina received her B.A. in Classical Studies from Duke University and her J.D. from the University of Virginia School of Law.

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

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

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

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

Nancy Higgins is the Vice President and Chief Ethics & Compliance Officer for Bechtel, a group of engineering, construction, and project management companies with more than a century of experience on complex projects in challenging locations around the world.  She is responsible for developing and maintaining Bechtel's global ethics and compliance program, including its international network of ethics and compliance officers. 

Prior to joining Bechtel in January 2007, Higgins was Executive Vice President of Ethics and Business Conduct for MCI, where she was brought in by the new CEO and the Board of Directors as a member of the executive leadership team and built a world class ethics and compliance program after the WorldCom scandal.

Before MCI, Higgins was Vice President of Ethics and Business Conduct at Lockheed Martin.  Prior to that, she headed the Office of Ethics and Business Conduct for The Boeing Company, where she created Boeing’s first company-wide ethics and compliance oversight program.  She had previously served in Boeing’s Law Department where she managed complex corporate litigation and advised the Board on shareholder litigation issues.  Prior to that, she practiced law at the Lane Powell firm in Seattle, Washington, and at Skadden, Arps in New York City.

Long active in the American Bar Association, Higgins has served on both the ABA Standing Committee on Professionalism and its Standing Committee on Ethics and Professional Responsibility.  She has also served in a number of leadership positions in the Litigation Section, including Litigation Council member and co-chair of the Committee on Corporate Counsel and the Ethics and Professionalism Committee.

She is a member of the Board of Directors of the Ethics and Compliance Association and a Fellow of the Ethics & Compliance Initiative.  In 2012, she served as a member of the Ethics Resource Center Independent Advisory Group on the 20th Anniversary of Federal Sentencing Guidelines for Organizations.  She was the 2014 recipient of the Carol R. Marshall Award for Innovation in Corporate Ethics.

Higgins is a past chair of the Working Group of the Defense Industry Initiative on Business Conduct and Ethics (DII), a consortium of defense contractors that subscribe to a set of principles for high standards of business ethics and conduct, and the Conference Board Global Business Conduct Council.

Higgins earned her bachelor’s degree in Russian History from Western Washington State University in Bellingham, Washington, and holds a law degree from the University of Washington in Seattle.  She completed the Advanced Management Programme at INSEAD, an international business school in Fontainebleau, France.

Paul E. McGreal is a Professor of Law at the Creighton University School of Law. He came to Creighton in July 2015, as dean of the School of Law, and he served in that position through July 2017.

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

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

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

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

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

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

Ravi Inthiran leads the implementation and management of Ripple’s general compliance & ethics, privacy, and internal audit programs. This includes policy governance, training and communications, board reporting and enterprise risk management. Prior to Ripple, Ravi was Zenefits’ Chief Compliance Officer and Senior Director in the Global Compliance & Ethics department at McKesson (a Fortune-8 healthcare company).

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

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

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

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

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

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

Theodore L. Banks (Ted) is a partner in the firm of Scharf Banks Marmor LLC in Chicago, where his practice concentrates on compliance, general corporate, and antitrust matters.  He is also President of Compliance & Competition Consultants, LLC, a firm devoted to assisting corporations in development of effective and efficient programs in the areas of corporate compliance, internal investigations, and records management. 

He currently serves as a compliance monitor on behalf of the Federal Trade Commission and the Competition Bureau of Canada, monitoring the compliance programs of United Airlines, Air Canada, McKesson Corp., and Staples, Inc.   He is also an Associate Adjunct Professor of Law at Loyola University (Chicago) School of Law, where he teaches corporate compliance in the J.D., M.J., and L.L.M. programs.

Before entering private practice, he served as Chief Counsel & Senior Director, Global Compliance Policy, at Kraft Foods in Northfield, Illinois.  During his career at Kraft, his responsibilities also included supervision of complex litigation, negotiation of major corporate transactions, global records management, antitrust, and supervision of computer applications used in the Corporate and Legal Affairs Department.   He was responsible for automating the activities of the Law Department, and, among other accomplishments, created one of the first client-facing intranets in the country.  He directed many substantial corporate transactions, including the $19 billion acquisition of Nabisco by Kraft.  He successfully managed several antitrust cases as a plaintiff, where the company was able to recover substantial sums outside of the class action context.

Ted is a graduate of Beloit College (B.A. Government) and the University of Denver Sturm College of Law, where he served as Editor-in-Chief of the Denver Journal of International Law and Policy.

Ted has written numerous articles on antitrust, compliance, and legal automation topics. He co-edited the Corporate Legal Compliance Handbook, published by Aspen/Wolters-Kluwer, and his multi-volume treatise, Distribution Law: Antitrust Principles and Practice, also published by Aspen/Wolters-Kluwer, is now in its second edition.  He is also the author of the chapter on antitrust compliance in the Antitrust Adviser, published by Thomson Reuters.  He was a chapter author and one of the editors of the Antitrust Compliance Handbook, published by the ABA Section of Antitrust Law. In the ABA Cybersecurity Handbook, he wrote the chapter on cybersecurity for small businesses (and small law firms). He has been recognized as a “Super Lawyer,” as one of the “Attorneys Who Matter,” and one of 50 “Governance, Risk & Compliance Trailblazers and Pioneers. He is a frequent speaker at professional education programs, where he strives not to bore the attendees too much.

Tiffany Archer is a board and executive advisor, ethics and compliance officer, regulatory attorney, and DE&I nonprofit advisory board / faculty member with 18+ years in Fortune 500 companies and AmLaw 100 law firms.  Her roles have spanned the Asia-Pacific, Latin America and Europe regions where she oversaw global activities related to ethics and compliance, anti-bribery and corruption, financial crimes, sanctions compliance, regulatory risk, cross-border internal investigations, and reputations risk management.  She has experience representing multinationals before U.S. regulators, including the SEC and DOJ, as well as Federal Monitors. 

She is a co-chair of NYCBA’s General Corporate Ethics and Compliance Sub-Committee, and a member of NYCBA’s Compliance Committee.  Tiffany was a 2020 Finalist in Compliance Week’s Excellence in Compliance Award for Anti-Corruption and featured in Modern Counsel. She is an active speaker and author for organizations including Ethisphere, Compliance Week, CenterForce USA, LEC Experience LATAM (Brazil), and others.  She has been a guest lecturer at 3 law schools and is an instructor for the Society of Corporate Compliance & Ethics (SCCE).

Before law school, Tiffany served in world-class financial services and consulting institutions, where she worked at the intersection of data, risk management, and operations at the inception of Big Data and Artificial Intelligence (AI).  She draws passion and excitement from the ever-evolving legal, ethics and compliance space through a behavioral science lens, in her efforts to combat financial crime and mitigate risk.

Tiffany holds a BA from the University of Pennsylvania and a JD from The George Washington University Law School.

Timothy J. Lucey serves as Senior Director, Corporate Compliance & Government Oversight for Pacific Gas and Electric Company (PG&E).  Based in San Francisco, PG&E is one of the largest utility companies in North America, serving more than 16 million Californians in a service territory stretching south to Santa Barbara, east to Lake Tahoe and north to the Oregon border.  Mr. Lucey manages high-stakes litigation for the company, directing local and national law firms in state and federal litigation involving PG&E.  Mr. Lucey also provides strategic advice on risk management to senior leaders throughout the company and currently serves as the Liaison to the Governor’s Operational Observer team.  Mr. Lucey also supports internal investigations and serves as the point of contact for law enforcement interaction with PG&E and its employees. 

Before joining PG&E, Mr. Lucey served for fifteen years as a federal prosecutor in the U.S. Attorney’s Office for the Northern District of California, where he was a member of the Securities Fraud Section.  During his tenure, Mr. Lucey conducted numerous high-profile criminal jury trials and complex white collar investigations, including leading the multi-agency investigation into fraud at the California Public Employees’ Retirement System (CalPERS) that ultimately led to the indictment and conviction of its CEO.  Prior to serving as an AUSA, Mr. Lucey practiced law at national law firms including Cooley LLP and Nixon Peabody LLP, where he tried numerous civil jury trials and administrative hearings, including the successful defense of the former California Insurance Commissioner against charges of campaign finance fraud.  

Mr. Lucey received his A.B. magna cum laude in 1991 from Georgetown University, where he was a member of Phi Beta Kappa, and stayed on at Georgetown to earn his J.D. in 1994, where he was managing editor of the Georgetown Journal of Legal Ethics.

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

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

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

Ronnie Kann is the Head of Global Ethics & Compliance at Energizer Holdings, one of the world's largest manufacturers and distributors of batteries, portable lights, and auto care products. In his role, Ronnie is responsible for designing and implementing a dynamic and practical ethics and compliance program that engages leaders and drives the company’s integrity culture. 

Ronnie has over 20 years of global ethics and compliance experience and most recently was the Director of Global Ethics and Compliance at Kimberly-Clark. Previously, Ronnie served in leadership roles at the Ethics & Compliance Initiative and at Gartner, where he helped launch the Compliance and Ethics Leadership Council. 

During his career, Ronnie has written numerous articles on integrity culture, ethical leadership, and employee engagement.  He has also presented research and best practices at ethics and compliance conferences throughout the world, including ABA, Compliance Week, Conference Board, Converge, ECI, Ethisphere, Gartner, PLI, and SCCE.

Ronnie began his career as a litigator at Simpson Thacher & Bartlett in New York, Ropes & Gray in Boston, and the U.S. Department of Justice in Washington, DC.  Ronnie graduated with honors from the Duke University School of Law and holds an A.B. degree, with honors, from Princeton University.

He currently lives in Dallas, TX, with his wife and three children.