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Advanced Compliance and Ethics Workshop 2014


Speaker(s): Allan Tananbaum, David G. Wilkins, David M. Stuart, Donald C. Dowling, Jr., E. Scott Gilbert, Greg A. Harris, Jack Holleran, Jeffrey C. Eglash, Jeffrey M. Kaplan, Jose Tabuena, Joseph E. Murphy, Kathleen K. Edmond, Kimberly Strong, Lance Croffoot-Suede, Marshall L. Miller, Rachel L. Gerstein, Scott Killingsworth, Steven Priest, William B. Jacobson
Recorded on: Oct. 7, 2014
PLI Program #: 50464

Allan Tananbaum is VP – Compliance & Deputy General Counsel at Ingersoll Rand, and is based in Piscataway, NJ and Davidson, NC. Allan is responsible for leading the global Ethics and Trade Compliance organization at Ingersoll Rand, a team of 40 professional stationed at various locations around the world, and has held his position since February 2010. Prior to assuming his current role, Allan was the VP and Deputy General Counsel for Litigation at Ingersoll Rand and, before that, ran the Litigation function in the Legal Department of Trane Inc., formerly known as American Standard, until it merged into Ingersoll Rand. Allan also previously held an in-house litigation position at Honeywell International Inc. Before starting his in-house career, Allan was an Assistant U.S. Attorney in Newark, where he served stints in the Criminal, Appeals and Special Prosecutions divisions. Allan began his legal career as an Associate at Simpson Thacher & Bartlett in New York City. Allan holds an A.B. degree from Brown University, from which he graduated magna cum laude and where he was elected to Phi Beta Kappa. He received his J.D. degree from Columbia University Law School, where he was Managing Editor of the Columbia Law Review. He is married with three children and lives in Westfield, NJ.


David G. Wilkins is the Chief Compliance Officer (CCO) at SNC-Lavalin Inc., effective June 1, 2014. Wilkins' previous roles include Director of Ethics and Compliance and Associate General Counsel for The Dow Chemical Company until his retirement from Dow on February 28, 2014; Vice President and General Counsel of Union Carbide Corporation, a wholly owned subsidiary of The Dow Chemical Company; Vice President and Chief Diversity Officer of the American Red Cross; and a variety of other legal and human resources roles across Dow's U.S. Operations.

Wilkins joined Dow in 1987 after 10 years of private law practice in Chicago. He holds a Bachelor of Arts degree from Illinois Wesleyan University and a Juris Doctor from the University Of Illinois School of Law. He attended the Babson College Executive Education program. He currently serves on the Board of Trustees of Illinois Wesleyan University.


Donald C. Dowling has extensive experience advising U.S.-based companies on outbound international labor and employment laws. Don provides counsel on a wide variety of global employment law matters, including codes of conduct and HR policies that guide operations in multiple jurisdictions, international compensation and benefits issues, whistleblower hotlines, and cross-border internal investigations and HR compliance audits. He regularly advises clients on employment matters that arise with international restructurings, reductions in force, mergers, acquisitions, and outsourcing. Additionally, Don helps clients properly engage independent contractors overseas, manage expatriate programs, and develop employment agreements and employee handbooks.

Earlier in his career, Don served as in-house international employment counsel for a Fortune 500 company in Paris and as an employment law consultant for a global consulting firm. He has delivered hundreds of presentations on international employment law issues in English and Spanish in countries around the world, and regularly publishes articles and teaches courses on a variety of global employment law topics.

Professional & Community Affiliations

Member, Advisory Board
New York University School of Law’s Center for Labor & Employment Law

Former Chair
Cross-Border HR Group
XBHR

Recognition

Named, America's Leading Lawyers for Business
Chambers USA 2017

Named, Legal 500
US Labor & Employment, Workplace and Employment Counseling

Named, Super Lawyer
New York
Super Lawyers

Named, Attorneys Who Matter
2010
Ethisphere Institute

Named, Leading International Labor/Employment Lawyer
PLC Which Lawyer?

Order of the Coif

Education

  • J.D., Levin College of Law at University of Florida, 1985
  • A.B., University of Chicago, 1982

Languages

  • Spanish

Bar Admission

New York

Courts

  • U.S. Court of Appeals, 6th Circuit
  • U.S. District Court, Southern District of Ohio


Jeffrey Eglash is Global Executive Litigation Counsel for General Electric Company in Fairfield, Connecticut.  In this position, he conducts and oversees internal investigations, responds to government investigations, and helps develop compliance programs and procedures to ensure that employees adhere to all laws and to GE’s code of conduct.

Before joining GE, Jeff was a partner at Howrey LLP, 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.  As IG, he was responsible for providing civilian oversight of the LAPD, including investigating and reviewing officer-involved shootings and major use of force incidents, monitoring the Department’s internal disciplinary system, ensuring compliance with a federal civil rights consent decree, and auditing various Department operations and procedures.

From 1987 to 1999, Jeff was an Assistant United States Attorney in Los Angeles, where he prosecuted cases involving police corruption, defense contractor fraud, environmental crimes, drug trafficking and money laundering, and more.  He served in a number of supervisory positions, including Chief of the Public Corruption and Government Fraud Section, where he oversaw the prosecution of cases involving fraud against the government, official corruption, civil rights, environmental crimes, and other offenses.


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.


Jose Tabuena, M.A, J.D, CFE, CHC

 

Jose Tabuena is an experienced compliance and privacy officer, fraud specialist, and attorney specializing in healthcare legal and compliance management. Along with his consulting practice, PrincipledEdge, He is an active thought leader, published author, regular columnist with Compliance Week, and teaches as an adjunct faculty instructor for the Widener University Delaware Law School, Masters of Jurisprudence Program.

Mr. Tabuena has held major compliance and legal roles at Kaiser Permanente, Texas Health Resources, Orion Health, Concentra | Humana, and UT Southwestern Medical Center. He has managed and conducted a variety of multifaceted fraud and misconduct investigations with emphasis on highly regulated industries. As an internal compliance professional he launched start-up programs and served as the Chief Compliance and Privacy Officer for complex entities in various health industry sectors. As a consultant providing assurance and forensic services in Big 4 consulting environments, he has evaluated compliance and fraud control programs and processes for global organizations in a wide-range of business areas with emphasis on the healthcare provider, payer, pharmaceutical and medical device industries.

Currently, Mr. Tabuena serves on the Board of Trustees for the Pan American Health Organization Foundation which mobilizes regional resources and technical expertise for the World Health Organization. His legal experience encompassed health regulatory matters primarily representing hospital systems and health insurers with liability cases including medical malpractice, medical staff proceedings, and health plan coverage and payment disputes.

Mr. Tabuena attained his Bachelor and Masters of Arts from the University of California, San Diego, and his Juris Doctor degree from the University of California, Berkeley, and is licensed with the California state bar. Mr. Tabuena is an Open Compliance & Ethics Group (OCEG) Fellow, Certified Fraud Examiner (CFE), and Certified in Healthcare Compliance (CHC).


Kathleen Edmond has spent the majority of her legal career in corporate ethics and compliance. As Chief Ethics Officer for a Fortune 100 company from 2004-2014, Kathleen built and subsequently led an ethics office with global ethics, compliance and governance responsibilities. Ms. Edmond is probably best known for her leading-edge communications initiatives designed to create a connected, ethical culture within an organization and support business strategy, vendor integrity, and customer engagement.

She currently leads the Compliance Practice for Robins, Kaplan, Miller & Ciresi LLP, a national law firm based in Minnesota. She knows the critical cultural, operational, and legal components required for successful compliance documentation and training roll-out—and the strategies to avoid or overcome the organizational obstacles that can get in the way. She understands how to work with business goals and business budgets to build programs that help companies demonstrate their ethical commitment and how to direct and coordinate internal and external teams to produce an effective, protective governance regime.

As a result of Kathleen’s commitment to ethics and compliance, she has been named an Executive Fellow at the University of St. Thomas Center for Ethical Business Cultures and serves on the advisory board guiding the launch of newly created graduate degrees in organizational ethics and compliance at the University.

Kathleen has received numerous awards in recognition of her substantive expertise.

  • 2013 Corporate Governance Team Award, Corporate Secretary Magazine
  • 2013 recipient of 9th Annual Compliance and Ethics Award, SCCE
  • 2012 recipient of the Carol R. Marshall Award for Innovation in Corporate Ethics, Ethics Resources Center, Washington, DC.
  • Attorneys Who Matter, 2010 and 2011, Ethisphere
  • Being a Difference Award in 2011 given by the National Association of State Boards of Accountancy and Center for the Public Trust
  • 100 Most Influential People in Business Ethics, 2009 and 2010, Ethisphere

Kathleen earned her J.D., cum laude from the University of Minnesota Law School, her M.B.A. with a concentration in Business Ethics from the University of St. Thomas, and her M.S.W. from the University of Minnesota.


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.


Scott Killingsworth’s practice focuses on organizational compliance and ethics, corporate law and transactions. He helps boards and senior executives with corporate compliance program design, implementation and evaluation, corporate governance and strategy formulation, and negotiated transactions. He brings to his compliance practice three decades of practical experience as outside general counsel to companies in fields as diverse as medical devices, manufacturing, technology and e-commerce, logistics and health care. In that capacity he helped manage compliance risk in such areas as privacy, intellectual property, government and commercial contracting and healthcare regulation, well before compliance was recognized as a distinct practice area.

Widely recognized for thought leadership in ethics and compliance, Mr. Killingsworth is one of only 7 private practitioners included in Ethisphere’s list of “Attorneys Who Matter” in ethics and compliance for 2013, 2014, 2015 and 2016. In 2018, Trust! Magazine named him one of its Top Thought Leaders in Trust based on his work on compliance in the C-Suite. He received a 2013 Burton Award for Distinguished Legal Writing for his “Modeling the Message” article on ethical leadership, culture and compliance. “Modeling the Message” is among the top ½ of 1% most requested titles from the Social Science Research Network scholarship archive and was honored on the “Recommended Reading” list in the Green Bag Reader of Exemplary Legal Writing.

Mr. Killingsworth has served on the Board of Governors of the Center for Ethics and Corporate Responsibility at Georgia State University and on the Executive Committee of the Georgetown Corporate Counsel Institute Board. His recent publications include articles in two RAND books, the Journal of Business Compliance, Compliance & Ethics Professional, Compliance Today, Ethikos, Ethisphere, and The FCPA Blog. Mr. Killingsworth has also been profiled or quoted in the Wall Street Journal, American Bar Association Journal, Investor’s Business Daily, Huffington Post, Compliance Today, Compliance & Ethics Professional, Corporate Counsel, Corporate Secretary, Corporate Crime Reporter, Journal of Business Compliance, Financial Times Agenda and Ethisphere, and in a number of leading compliance blogs such as the Business Law Profs Blog, Ethical Systems, Compliance Strategists, Behavioral Legal Ethics Blog, the FCPA Blog, the FCPA Compliance & Ethics Blog, Internal Investigations Blog, Conflict of Interest Blog, and Corruption, Crime & Compliance.

He received his bachelor’s degree in Culture and Behavior at Yale University, where he was a Yale National Scholar and National Merit Scholar, graduated Phi Beta Kappa and with Honors with Exceptional Distinction, and later served on the alumni Board of Governors. He also earned his J.D. from Yale and served as Vice President and a member of the Executive Committee of the Yale Law School Association.


William B. Jacobson: Billy is a partner in the White Collar and Criminal Investigations group at Orrick, Herrington and Sutcliffe, LLP, based in Washington, D.C. From 2009 until July 2014, Billy was the Senior Vice President, Co-General Counsel and Chief Compliance Officer for Weatherford International, a large oilfield services company with operations in 100+ countries. Billy served as a federal prosecutor at the Fraud Section of the U.S. Department of Justice’s Criminal Division for approximately 6 years. His last stint at DOJ was as Assistant Chief for FCPA Enforcement where he was responsible for roughly half of all FCPA investigations and prosecutions. In this role, he also spent a considerable amount of time liaising with the SEC, FBI and foreign prosecutors, including attending meetings of the OECD Working Group on Bribery. Billy started his career prosecuting street crime in New York City.


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

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

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


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.


Mr. Gilbert is a Senior Vice President and the Chief Risk and Compliance Officer of Marsh & McLennan Companies, the premier global professional services firm providing advice and solutions in risk, strategy and human capital. Through our market leading brands – Marsh, Mercer, Guy Carpenter, and Oliver Wyman – over 55,000 colleagues in more than 100 countries help clients identify, plan for and respond to critical business issues and risks.

Mr. Gilbert is a member of the Marsh & McLennan Companies Executive Committee. He reports to CEO Dan Glaser and the Audit Committee of the Board of Directors. In his role as Chief Risk & Compliance Officer, he also oversees the firm’s Global Security, Business Resiliency and Global Technology Infrastructure functions.

Mr. Gilbert joined Marsh & McLennan Companies in January, 2005 from the General Electric Company (GE), where he was Chief Compliance Counsel. Prior to joining GE in 1992, Mr. Gilbert served for five and a half years as an Assistant U.S. Attorney in the Southern District of New York, where he served on the Securities and Commodities Fraud Task Force investigating criminal violations of federal securities laws.

Mr. Gilbert is a graduate of Harvard College and received his J.D. from Harvard Law School.


Steve is one of the world’s leading integrity consultants. Described by the Wall Street Journal as “one of the most sought consultants to keep companies on the straight and narrow,” he has done ethics and compliance work in 51 countries for over a hundred of the world’s finest organizations. Since running an ethics think tank in Chicago in 1990, Steve has shaped the field in frequent presentations and publications for the Ethics and Compliance Association, Society for Corporate Compliance and Ethics, Conference Board, Practising Law Institute and many others.

Much of Steve’s recent work has involved assessing ethics and compliance programs and culture. Several examples of Steve’s work since starting Integrity Insight International in 2014 are summarized below: *Conducted an independent assessment of the ethics and compliance program of a Top 20 government contractor as part of an agreement with the US Department of Defense. Recommendations were deemed fair, reasonable and helpful.  *Assessed the integrity culture of a 35,000 employee professional services firm that wanted to understand employee perceptions about “Speaking Up.” Focus groups in eight countries yielded actionable insights for Compliance and Senior Leadership. *Conducted an independent audit of the ethics and compliance program for a multibillion dollar subsidiary of a Fortune 50 corporation as part of an agreement with an agency of the US Department of Homeland Security. *Served as the culture expert on the corporate monitoring team appointed by the US Department of Justice to oversee one of the 20 biggest global banks.*Assessed the ethics and compliance program of a real estate firm owned primarily by a private equity company that wanted outside recommendations on how the firm could strengthen its program without adding unnecessary friction or cost. *After being approved by the US Securities and Exchange Commission and the US *Department of Justice, conducted an independent assessment of the ethics and compliance program and culture of a Wall Street firm.  In addition to assessment and monitoring work as part of corporate agreements with the government, Steve continues to serve as a trusted, “go-to” adviser for CEOs, GCs, and Compliance Officers. - Train Boards of Directors and leadership teams in an engaging, entertaining way *focused on the roles and responsibilities of participants.  - Conduct risk, program and culture assessments to help Ethics & Compliance officers, leadership teams, and Boards allocate resources appropriately.

Steve founded Ethical Leadership Group in 1993, sold it to Navex Global in 2009, and founded III in 2014.  He received his ethics training in the real world of business and at Harvard University’s Divinity School, where he received a Master of Theological Studies degree. He has his MBA and BA from University of Chicago, and studied international organizational development in the Graduate Business School at Katholieke University Leuven, Belgium.          


David M. Stuart is a partner in Cravath’s Litigation Department.  He focuses on government and internal investigations and matters related to regulatory enforcement and compliance, including financial reporting and disclosure, improper payments, insider trading and corporate governance.  Mr. Stuart has served clients such as AngloGold Ashanti, Barnes & Noble, Brink’s, First Solar, The Hartford, IBM, McKinsey, PSEG, Qualcomm, Starbucks and World Fuel Services.

Mr. Stuart joined Cravath as an associate in 1996 after a federal district court clerkship.  In 2000, he left to serve for six years in the Division of Enforcement at the U.S. Securities and Exchange Commission in Washington, D.C.  While at the SEC, Mr. Stuart was Branch Chief for the SEC’s Financial Fraud Task Force and regularly coordinated multinational investigations with the FBI, the Department of Justice, and multiple international regulators and law enforcement agencies.  For this work, Mr. Stuart twice received the Director’s Award for outstanding contribution to the enforcement of the federal securities laws.  After leaving the SEC, Mr. Stuart served as Senior Counsel of Investigations and Regulatory Affairs for the General Electric Company.  Mr. Stuart returned to Cravath in 2008.

Since returning to Cravath, Mr. Stuart has led several internal investigations and represented clients in situations involving the multiple complex elements of accounting irregularities and financial restatements, foreign corruption, insider trading and shareholder demands.  Mr. Stuart has also conducted comprehensive reviews of corporate compliance programs and advised organizations on implementation of best practices in regulatory compliance. 

Mr. Stuart is a frequent speaker on the subject of regulatory compliance and corporate investigations.  He has served as an expert columnist for Corporate Compliance Insights, authoring articles such as “What’s Next in Global Regulation of Corporate Corruption?”  In 2009, he authored “Disclosure Obligations in Government Investigations” in The Business Lawyer and “Surviving Scrutiny Through Best Practices” in Corporate Board Member.  In 2007 and 2008, he served as conference co-chair for the American Conference Institute program “Corporate Investigations.”

Mr. Stuart was born in Dearborn, Michigan.  He received his B.A. with high honors in 1990 from Wesleyan University, where he was elected to Phi Beta Kappa, and his J.D. in 1995 from New York University School of Law, where he was Senior Staff Editor of the Environmental Law Journal.  After graduating from law school, Mr. Stuart clerked for the Hon. John Gleeson in the Eastern District of New York.

Mr. Stuart is a member of the American Bar Association and the International Bar Association.


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 $1.4 billion in revenue in 2017.  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 as the principal architect of 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 management 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.


Marshall L. Miller is a Senior Fellow at New York University’s Program on Corporate Compliance and Enforcement.

Until July 2015, Mr. Miller served as the Principal Deputy Assistant Attorney General and Chief of Staff of the Criminal Division of the Department of Justice (DOJ).  In that position, Mr. Miller supervised over 600 federal prosecutors and oversaw critical investigative, charging, and litigation decisions for DOJ’s highest profile prosecutions.  Mr. Miller also played a key role in determining, implementing, and explaining DOJ priorities, initiatives, and policies, including testifying on Capitol Hill, briefing Congressional staff, and advising executive branch officials.  Mr. Miller joined DOJ’s Criminal Division from the United States Attorney’s Office for the Eastern District of New York (EDNY), where he worked as an Assistant United States Attorney for approximately 12 years.  At the EDNY, Mr. Miller served in a number of leadership positions, ultimately as the Chief of the Criminal Division.

Mr. Miller has conducted and supervised the prosecution of numerous complex cases, involving charges ranging from terrorism and violent crime to corruption and financial fraud, including cases resulting in convictions of some of the world’s largest corporations, corporate executives, members of Congress, and international terrorists.  For his work, Mr. Miller has received a number of DOJ’s highest awards, including an Attorney General’s Award for Excellence in Furthering the Interests of National Security and a Director’s Award for Superior Performance.  He has also received awards from the New York City Bar Association, the Director of National Intelligence, and the Federal Law Enforcement Foundation.  In 2009, Mr. Miller was recognized for the most outstanding performance by an AUSA at the Department of Justice by the National Association of Former United States Attorneys.

Mr. Miller has also engaged significantly in the teaching of law, both as a full-time and adjunct professor.  In 2006, Mr. Miller co-founded the EDNY Federal Criminal Prosecution Clinic at New York University (NYU) Law School, and taught as an adjunct clinical professor in the clinic from 2006 through 2012.  Previously, from 2003 through 2005, he taught full-time at NYU Law School’s Lawyering Program.  Mr. Miller also taught National Security Law as an adjunct professor at Fordham Law School in 2012.  Mr. Miller clerked for the Honorable Allyne R. Ross, United States District Judge for the Eastern District of New York. He earned both his J.D. and B.A. from Yale.