Skip to main content

Advanced Compliance and Ethics Workshop 2013


Speaker(s): Amii L. Barnard-Bahn, Carlos Singh, Dan Seltzer, Douglas A. Doty, Frank Lopez, Gina Saviola, Herbert E. Wilgis III, James M René, James M. Lord, Larry Parsons, Lupe Garcia, Nancy A. Heafey, Odell Guyton, Paul E. McGreal, Rebecca Walker, Scott Willoughby
Recorded on: Nov. 18, 2013
PLI Program #: 46073

Douglas Doty has spent the past 23 years, including an expatriate assignment in France, serving in various compliance and corporate counsel roles for 2 European based, publicly traded manufacturing companies providing advice and counsel to corporate clients throughout North America and Europe.

Douglas joined Siemens in 2005 and has served as Compliance Officer for the Building Technologies Division of Siemens Industry, Inc. in the U.S. ("BT") since 2007. BT provides a comprehensive range of facility performance solutions for the comfort, safety, security, energy efficiency and operation of commercial, industrial and government buildings. As BT's Compliance Officer, Douglas is responsible for coordinating, tracking and reporting the results of compliance investigations and assuring the effectiveness of BT's Compliance program through counseling, testing, remediation and training.

At the beginning of his legal career, Douglas was a litigator defending life, health and disability insurance carriers and worked as corporate counsel for an insurance company managing litigation and administrative disputes with governmental agencies.

Douglas is an active member of the DePaul University Institute for Business and Professional Ethics Board of Directors, Chicago Regional Business Ethics Network, North Shore Compliance Officers Roundtable, Society of Corporate Compliance and Ethics, Ethics and Compliance Officer Association, Association for Practical and Professional Ethics, American Bar Association and Association of Corporate Counsel.

Douglas was awarded a Bachelor of Science Degree in Sociology from Bradley University and a Juris Doctor Degree from John Marshall Law School.


Lupe Garcia is Associate General Counsel, Global Integrity & Compliance for Gap Inc. She has been with Gap Inc. for over 13 years and has led Gap Inc.'s Integrity Program since January 2006. In her current role, Lupe focuses on promoting the Company's integrity value, and enhancing the Company's legal compliance around the world. She is also on the Steering Committee for the Company's Latino Employee Resource Group. 

Prior to 2006, Lupe was a Senior Corporate Counsel at Gap Inc. focused on employment law matters, and established the Company's International Employment Law practice. She was recently appointed by Governor Jerry Brown to serve on the Board of Trustees for the California State University. Lupe is also on the Board of Directors for the Lawyers' Committee for Civil Rights of the San Francisco Bay Area, and a member of the Ethics & Compliance Officers Association, as well as the Bay Area Ethics & Compliance Association.

Before joining Gap Inc., Lupe was an associate at Lafayette and Kumagui, practicing employment law. She received her law degree from the University of San Francisco and a B.A. in Public Policy from Occidental College. Lupe lives in Alameda, California with her husband and son.
 


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

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


Frank Lopez is currently employed by WellCare Health Plans, Inc. as Vice President, Corporate Compliance. Previously, Frank was employed with a major telecommunications company as Director of Ethics & Compliance, where his responsibilities included supervision of the company's global ethics and compliance program. Additionally, Frank's prior experience includes employment as a federal prosecutor, a state prosecutor, and with a major Colorado law firm as a civil litigator, specializing in employment law. Frank graduated with honors from the University of Florida College of Law. He received his undergraduate degree from the University of Miami, where he graduated magna cum laude, having majored in accounting.


 


Gina Saviola is Senior Compliance Counsel at Jacobs Engineering Group and is based in Los Angeles.  Gina has over twelve years of experience implementing and overseeing global anti-corruption programs for Occidental Petroleum Corporation and Japan-based Sumitomo Electric Industries Ltd.  Prior to going in-house, Gina was an attorney in the enforcement division of the SEC and a white collar criminal defense attorney.  She received her B.A. in Classical Studies from Duke University and her J.D. from the University of Virginia School of Law.


Herb Wilgis is a Director of Compliance Programs for the Office of Legal Compliance at Microsoft.  Herb is responsible for managing strategies and programs to prevent misconduct, empower employees to make ethical decisions, and reduce risk.  These include the programs and underlying controls for Microsoft’s code of conduct, corporate policies, training and awareness, risk identification and remediation, monitoring and oversight, program assessment, and reporting to the Board of Directors.  Prior to joining Microsoft, Herb was a partner at the firm of K&L Gates LLP.  He also served as a Special Deputy Prosecuting Attorney for the King County Criminal Division and as a Special Assistant Attorney General for Washington State.  Herb received his A.B. degree from Princeton University and his J.D. and M.A. from the University of Virginia.


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

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

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

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


Mr. Odell Guyton, JD, CCEP, CCEP-I, is the Corporate Vice President, Head of Global Compliance for Jabil Circuit, Inc., St. Petersburg, Florida, USA, a diversified manufacturing services company with over 200,000 employees in 33 countries. Mr. Guyton is a Society of Corporate Compliance and Ethics (SCCE) Co-Founder and Co-Chair.  He is a recognized industry leader in designing, implementing, and managing effective corporate compliance programs for multi-national organizations. He has a significant track record of accomplishment in the legal field and the domestic (U.S.) and international compliance and ethics field.

He is a frequent lecturer on the implementation and administration of anti-corruption and anti-bribery compliance measures focused on U.S. Foreign Corrupt Practices (FCPA) and the U.K. Anti-Bribery Act. He serves on several United Nations workshops related to fighting corruption including the “UN Global Compact Guide on Fighting Corruption in Sport Sponsorship and Sport Related Hospitality” and “The UNODC Anti-Corruption Ethics and Compliance Handbook for Business.”  He is an expert consultant for the Humboldt-Viadrina, School of Governance, Berlin Germany in preparing their “Guide for Motivating Business to Counter Corruption-Using Sanctions and Incentives to Change Business Behavior”. He is a lecturer for the International Anti-Corruption Academy, Laxenburg, Austria.

Mr. Guyton is highly experienced in corporate internal investigation, complex litigation, criminal defense, internal controls, and preventative law and in the design and implementation of compliance programs. He has direct experience in technology, healthcare and university compliance. Mr. Guyton is licensed to practice by the Supreme Court of Pennsylvania Bar, the Washington State Bar Association, the U.S. District Courts, and U.S. 3rd. Circuit Ct of Appeals licenses. He is a Certified Compliance and Ethics Professional (CCEP, CCEP-I). He recently retired as Assistant General Counsel and Director of Compliance for the Microsoft Corporation. Prior to his appointment with Microsoft Corporation he served as the Corporate Compliance Officer for the University of Pennsylvania and University of Pennsylvania Health System. Previous to employment at the University of Pennsylvania, Mr. Guyton was engaged in the private practice of law. Mr. Guyton has served as a prosecutor in the United States Attorney’s Office and the Philadelphia District Attorney’s Office. He has served on several governing boards. He serves as Special Advisor on Compliance to the University of California Board of Regents and has been named as one of the “100 Most Influential Persons in Business Ethics” (Ethisphere Institute (2008)); Attorneys Who Matter (Ethisphere Magazine (2009; 2010, 2011). He also holds a Martindale-Hubbell “AV” (Preeminent) Highest Peer Review Rating. He studied bio-ethics at the University Of Pennsylvania School Of Medicine and received his Juris Doctor degree from the American University, Washington College of Law and earned his Bachelor of Arts degree from Moravian College, Bethlehem, Pennsylvania.


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. 


Amii Barnard-Bahn is an Executive Coach and Consultant who specializes in helping C-Suite leaders accelerate their success. She is hired by companies who are eager to build a thriving culture. Amii leverages 20+ years of experience in Chief Administrative Officer, Chief Compliance Officer, and Chief Human Resources Officer roles for organizations including McKesson U.S. Pharmaceutical, Fireman’s Fund Insurance/Allianz, and River City Bank. She brings this wealth of “in the trenches” experience to organizations, understanding the challenges today’s leaders face on a daily basis and helping clients achieve transformational leadership and sustainable business results.

Amii holds a JD from Georgetown University Law Center and is a Certified Executive Coach. She is a past Adjunct Professor of Compliance & Ethics at Golden Gate University School of Law and serves on the Bay Area Leadership Committee of 2020 Women On Boards.


Carlos Singh is a professor at Lincoln Law School in San Jose, California.  He teaches evidence, and corporate compliance and ethics courses.  Previously, he served as a managing director for Fidelity National Information Services, overseeing its financial services regulatory compliance practice in the western region.  Before, he was a senior manager at Ernest & Young, working in its corporate compliance and ethics, investigations, and financial services regulatory compliance practices.  Prior to joining EY, Carlos was a federal prosecutor in the United States Attorney’s Office for the Northern District of California.


Nancy Heafey is a Senior University Counsel at Stanford University. Her practice includes global compliance, anti-corruption laws, privacy, risk management, and international safety and security standards.  She also handles risk assessment and development of compliance strategies for new and emerging compliance areas, including Stanford’s recent implementation of an EU data privacy (GDPR) compliance program. She developed Stanford’s global anti-bribery policy, program and training, and advises on global activities, including study abroad and international research activities.  Prior to joining the Stanford legal department, Nancy was the Director of Compliance and Ethics for Stanford, and was responsible for building out and directing all aspects of Stanford’s central compliance and ethics program.  From 1998 to 2011, Nancy was the Vice President, Deputy General Counsel and Chief Compliance Officer at Con-way Inc.  She was responsible for Con-way’s compliance and ethics program, including training, compliance risk assessments, and overseeing investigations, and she developed Con-way’s FCPA compliance program following significant expansion of its international activities.  While at Con-way Nancy was also responsible for overseeing employment and labor law matters and litigation.  Prior to joining Con-way, Nancy was in private practice in San Francisco, specializing in labor and employment law and litigation.  Nancy received her B.A. degree from Stanford University (with distinction) in 1986, and her J.D. degree from the University of California, Berkeley, in 1989.