Speakers

BOSTON

Elin Cherry
Principal and Head of Capital Markets Practice
Compliance Risk Concepts (CRC)

Capital Markets Practice at Compliance Risk Concepts (“CRC”) is a management consulting organization focused on the intersection of Compliance and Technology protocols for Financial and Non-Financial Services companies. Elin is responsible for business development, relationship management and overseeing the execution of all client driven / business focused Compliance, Ethics and Operational Risk Management strategic engagements.

Elin is a Capital Markets and Compliance Executive known for gaining regulator confidence. She has served as a key member of Compliance Senior Management teams. Elin is focused on achieving corporate and department goals by successfully implementing Compliance Programs.

Elin has a proven track record in managing regulatory relations and examinations. She has strengthened firm’s credibility with regulators during times of financial stress. Elin is also recognized for building alliances between firm's, regulators, and business units. She is adept at creating Compliance management reporting to enable Firm’s to be proactive regarding Compliance matters.

Previously Elin was Director and Head of Business Unit Compliance, for CIT Group Inc. Elin was a member of the Compliance senior management team with responsibility for the US business compliance programs, BUCOs, broker-dealer compliance, and CIT Bank team. Prior to CIT Elin was at Societe Generale, where she served as Managing Director, Head of Global Markets Compliance and Deputy Director to the Chief Compliance Officer. Elin also held senior compliance positions at Deutsche Bank Securities Inc. and Banc of America Securities.

She holds a JD from the University of Denver College of Law and received her BA, cum laude, from the University of Colorado.

Elin is married with two children and lives in Westfield, New Jersey. She is Treasurer and on the Board of Directors of MORE After School, Inc. Elin also coaches an Odyssey of the Mind team. Elin enjoys skiing, hiking and spending time with her family.

Robert J. Chersi
Executive Director | Center for Global Governance, Reporting & Regulation
Lubin School of Business, Pace University

Robert J. (Bob) Chersi is the Executive Director of the Center, and an adjunct professor at Lubin. Bob's thirty year professional business career included senior corporate executive roles including CFO and Member of the Executive Committee of Fidelity Investments, and Member of the Group Managing Board of UBS AG. He is a member of the National Association of Corporate Directors, and his board mandates have included Chairman as well as Audit and Risk Committee roles, encompassing a $20 billion FDIC regulated bank, a SEC registrant investing in technology and biotechnology companies, and several civic boards. He has also served as a Panelist for the New York Stock Exchange's Hearing Board. He is a graduate of Pace University.

Julie DiMauro
Regulatory Intelligence and e-Learning Expert
Thomson Reuters Accelus

Julie DiMauro is a regulatory intelligence and e-learning expert in the GRC division of Thomson Reuters Accelus (New York). She previously served as the executive editor of FCPA Blog and as a senior editor at Complinet, now a part of Thomson Reuters.

Tom Fox
Independent Consultant
Compliance Risk Concepts

Thomas Fox has practiced law in Houston for 30 years. He is now an Independent Consultant, assisting companies with anti-corruption and anti-bribery compliance. He was most recently the General Counsel at Drilling Controls, Inc., a worldwide oilfield manufacturing and service company. He was previously division counsel with Halliburton Energy Services, Inc. where he supported Halliburton’s software division and its downhole division.

Tom is the author of the award winning FCPA Compliance and Ethics Blog and the international best-selling books “Lessons Learned on Compliance and Ethics” and “Best Practices Under the FCPA and Bribery Act”. His book, “GSK in China: A Game Changer for Compliance” was released in August 2013. His latest book is Leadership in Anti-Bribery, which he co-authored with Jon Rydberg. He writes and lectures across the globe on anti-corruption and anti-bribery compliance programs.

Olga Kasparova
Director, Governance, Regulatory & Risk Strategies
Deloitte

Olga Kasparova is a Director in Deloitte’s Governance, Regulatory & Risk Strategies practice providing services to clients around enterprise risk management (“ERM”), governance, operational risk management (“ORM”) and regulatory compliance, specializing in the banking industry.

Olga has experience in assisting clients with the design of ERM programs and development of key risk management framework components such as risk governance, organizational structure, roles and responsibilities, risk management policies, risk appetite, risk identification and assessment methods, risk aggregation, reporting and analysis. Olga successfully assisted many banking clients meet regulatory expectations with respect to risk management and governance.

Her select recent projects include:

  • Developing a risk aggregation and reporting framework, designing and implementing a legal entity governance framework, and enhancing and transforming regulatory reporting practices at a large U.S. bank
  • Strengthening U.S. governance of a large Foreign Banking Organization;
  • Development and implementation of a risk management framework and enhancement of corporate governance for a systemically important financial infrastructure, in response to a regulatory action;
  • Design of a global risk, compliance and control function at a Fortune 50 life sciences company; and
  • Development of an ERM framework and enhancing risk governance practices for a Bank Holding Company

From October 2007 through May 2008, Olga worked with the World Economic Forum leading a project on systemic financial risk – a dialogue series with global leaders on the causes of systemic financial risk and potential solutions to contain the crisis.

Randall Mikkelsen
North American managing editor, Compliance and Regulatory Risk
Thomson Reuters Accelus

Randall Mikkelsen is North American managing editor, Compliance and Regulatory Risk, at Thomson Reuters Accelus., a position he has held since 2011.He has worked as a financial and political journalist with Reuters, and then Thomson Reuters, from 1988. He has covered the White House, Justice Department, CIA, the Congress and other agencies in Washington, and covered economic and general news from postings in Philadelphia and Stockholm, Sweden. He also served as a Reuters World Desk editor for the Americas. He has won awards from the Society of American Business Editors and Writers and the North Dakota Newspaper Association. Randall has a bachelor's degree in English and master's in journalism from the University of Minnesota.

Denise Pedulla
Principal, Corporate Compliance & Risk Management Advisory Services
Berkeley Research Group

Denise Pedulla is a member of the BRG Healthcare and Corporate Compliance practices. Before joining BRG, Ms. Pedulla served as senior vice president and chief compliance officer at Orthofix International NV, an international orthopedic medical device company, where she developed and managed Orthofix’s domestic and international corporate compliance and ethics program and assisted the company in the defense of several federal healthcare investigations related to legacy business practices. Before Orthofix, Ms. Pedulla served as vice president of Compliance, Regulatory and Government Affairs and associate general counsel for Fresenius Medical Care North America.

An attorney, Ms. Pedulla has more than 20 years of experience in healthcare regulatory compliance. She has provided counseling to healthcare providers on general corporate and contract matters, compliance with state and federal fraud and abuse laws and regulations, Health Insurance Portability and Accountability Act Privacy and Security rules, third-party payer reimbursement requirements, patient care issues, public policy matters, and government affairs.

Ms. Pedulla has extensive expertise in corporate compliance and has developed all aspects of compliance and ethics programs from their inception for hospitals, medical centers, physician group practices, durable medical equipment suppliers, and medical device companies, including setting up arrangements databases and procedures for tracking payments to healthcare providers to comply with applicable state and federal reporting laws.

Ms. Pedulla is certified in healthcare compliance by and a member of the Health Care Compliance Association and holds a B.S. in nursing from Boston College, a J.D. from Suffolk University, and a master of public health in Health Policy and Management from Harvard University. Ms. Pedulla is a member of the Health Law sections of the American, Massachusetts, and Florida Bar Associations; and of the American Health Lawyers Association.

Tina Petruzziello
Founder and Compliance Principal
Boston Compliance Associates

Tina Petruzziello is the Founder and Compliance Principal of Boston Compliance Associates, where she provides customized compliance consulting solutions, focusing on small to mid-sized federally registered investment managers and state registered financial planners and advisors through her trademarked process, Circle of Compliance®. Tina has over 24 years of experience in the financial services industry in various capacities including sales, technology, and project management with a 15 year focus on compliance and regulatory requirements. Her clients have included investment advisors, broker dealers, hedge funds, banks, and state government. Prior to Boston Compliance Associates, Tina was the Compliance Vice President at Bank of America in the Global Wealth & Investment Management division. Tina was also a Senior Compliance Consultant at Protiviti and Deloitte & Touché. During her eight years at Fidelity Investments she held various positions including mutual fund sales representative, stockbroker, business analyst and compliance consultant. She also worked at Fleet Bank and Eagle Bank.

Tina is also the Legal and Compliance Conference Director for Capital Markets Consortium and a Co-Manager of one of the largest on-line compliance communities on LinkedIn. She organizes conferences and evening mixers for legal and compliance professionals and learning seminars for industry professionals. Tina co-authored an article on Massachusetts Data Protection Law, which was published in 2010, and keeps abreast of state and Federal regulations and requirements. She has spoken on several compliance panels (e.g. Schwab, Trade PMR, NAPFA) and participates on a working group representing the interests of the compliance officer in the rule making process. Tina also assisted in providing detailed analysis and policy recommendations to federal regulators regarding questionable mortgage investment practices at select financial services organizations, contributing to Title IV of the Dodd-Frank Act.

Tina received her Bachelor’s degree from Northeastern University and a Master’s Degree in Business Administration from Boston University.

Carl Sheeler
Director Global Group Leader Family Office/Business
Berkeley Research Group

Dr. Carl Sheeler brings wisdom gained from his 25 years of litigation expertise coupled with his corporate governance, business/military operations, strategic planning, finance, and academic background to address complex risk measurement, management, and mitigation issues. Dr. Sheeler’s court/IRS qualified litigation and public and private equity/enterprise valuation expertise includes testimony on numerous breach of duty, damages/diminution of value/lost income, class action, dissenting/oppression shareholder, partner, and tax authority disputes. Industry clients include defense contractors, manufacturers, transportation, technology, professional and business services, as well as asset holding companies (holding esoteric assets ranging from funds, intellectual, real, and personal property as other alternative and traditional assets). He has testified on 165 occasions and opined on value/damages matters on more than 1,000 engagements.

His public and private company experience includes family business/office valuation and advisory services associated with intergenerational planning, equity transfers with estate and gift tax issues, as well as partial and full liquidity event options and disruptions.

Dr. Sheeler distills complex issues and relevant facts into opinions and advice that is understandable to the non-expert and which may be applied by boards, founders, executives, and their trusted advisors in transfer, tax, and transactional matters. He is an authority on trust and estate and ESOP valuation issues such as how agreement provisions, asset allocation, and holding periods associated with equity ownership in asset holding and operating companies influence risk. This unique set of skills allows him to consider the factors and impairments as they relate to investor-proposed "discounts" associated with equity ownership.

He is a national thought-leader on identifying and quantifying risks and how intangible assets create, enhance, and diminish value. He has written and presented more than 300 treatises on valuation, merger, acquisition, divesture, and litigation-related matters. He serves on two national valuation boards and is authoring a Value Creation treatise for John Wiley & Sons.

Vishal Mehta
Director, Risk Consulting
KPMG LLP

A Director in KPMG’s Risk Consulting practice, Vishal Mehta has over 20 years of experience providing clients assistance with their enterprise risk management (ERM) and governance, risk, and compliance (GRC) programs. Vishal’s extensive experience includes assisting global, Fortune 100 organizations identify, quantify, prioritize and manage their critical enterprise-wide risks; and developing a governance framework to ensure appropriate oversight and compliance. An expert in internal audit procedures and best practice application, Vishal has substantial experience leading Board discussions to enhance and strengthen the risk management and assurance practices of organizations across various industries.

Vishal is a Chartered Accountant (India), a Certified Public Accountant as well as a Certified Internal Auditor.

Martin Woods
Money Laundering Reporting Officer
Thomson Reuters

Martin Woods serves as the Money Laundering Reporting Officer for regulated transaction businesses within Thomson Reuters. He is an anti-money laundering subject matter expert. As a former detective in the National Crime Squad, Martin investigated and arrested money launderers, now within the financial services industry he applies his knowledge and learning to deter, detect and defeat the money launderers. He is an innovator in financial crime and anti-money laundering systems and controls. He has been highly commended by regulators and is often called upon by commentators to provide a valued insight into emerging financial crime threats and trends.

Most recently he has advised upon the drafting of the Global Policy and Standards for the Accelus Org ID Managed Service. He is an expert witness and has previously been engaged by a number of parties, including the United Nations to advise and support investigation and litigation strategies. He is presently researching the criminal use of offshore companies, nominee parties and accommodation addresses.

Andrew Yuille
Global Head of Proposition Marketing, GRC Marketing & Communication
Thomson Reuters

Andrew Yuille, Global Head of Proposition Marketing, Thomson Reuters GRC, has more than 25 years experience of business development in high growth organizations across technology, research and financial services and serves as the Global Head of Proposition Marketing for Thomson Reuters Governance, Risk and Compliance (GRC) sector. In this role he oversees the product marketing of the GRC products and services across enterprise risk management, supply chain risk, 3rd party risk, operational risk, global regulatory intelligence, financial crime, anti-bribery and corruption and Board of Director services.

Andrew’s previous roles include Global Head of Marketing for global risk intelligence provider World-Check, Vice-President Marketing for ERP vendor Tetra plc, Head of Marketing for supply-chain software vendor Strategix, Head of Marketing for legal knowledge management vendor Solcara.

In 2001 he was elected as a Fellow of The Chartered Institute of Marketing. Andrew is also a Trustee and Governor of Herries Educational Trust, a registered charity in the UK and volunteers as a licensed technical official for the UK Amateur Swimming Association. He is a regular speaker at conferences and seminars across Americas, EMEA and Asia on topics relating to governance, risk and compliance, the prevention financial crime and B2B marketing strategy.

HOUSTON

Dan Chapman
Chief Compliance Officer and Counsel
Parker Drilling Company

Dan Chapman is the Chief Compliance Officer & Counsel for Parker Drilling Company. Mr. Chapman has worked in Houston for Parker Drilling Company since 2009. In his current role, Mr. Chapman coordinates the Parker Drilling Company’s overall compliance efforts, with a particular focus on developing and implementing initiatives related to anti-bribery, anti-boycott, economic sanctions and export controls compliance.

Prior to joining Parker Drilling, Mr. Chapman served in a variety of international trade, compliance and generalist legal counsel roles with Baker Hughes Incorporated. In addition, Mr. Chapman began his career as a securities and merger and acquisitions lawyer with the law firms of Freshfields (London) and King & Spalding (Atlanta and Houston).

Mr. Chapman has served as vice-chair of the American Bar Association’s Committee on International Anti-Corruption and also as vice-chair of the its Committee on Export Controls and Economic Sanctions. He has been recognized as a popular presenter on anti-bribery compliance, economic sanctions and export controls at various national and international conferences, and he has published numerous articles on the subject of international trade compliance. He is also the co-author of the Economic Sanctions chapter of the “Handbook of Export Controls and Economic Sanctions” (ABA Publications, 2013). In addition, Ethisphere magazine named Mr. Chapman as one of the top 25 Ethics and Compliance Officers in the USA. Mr. Chapman holds degrees from Emory University, the London School of Economics and the University of Kentucky. He also studied at Oxford University and the Economics University of Vienna.

Marcel de Chermont
Chief Compliance Officer
Acteon Group Ltd.

Marcel de Chermont is Chief Compliance Officer for Acteon Group, Ltd., a U.K. based oilfield services company. Marcel has been in the oilfield since 2000 and has held a variety of roles in operations and support services. Most recently, he has designed and implemented the ethics and compliance procedures at Acteon and is currently focused on ensuring their consistent implementation and effectiveness.

Julie DiMauro
Regulatory Intelligence and e-Learning Expert
Thomson Reuters Accelus

Julie DiMauro is a regulatory intelligence and e-learning expert in the GRC division of Thomson Reuters Accelus (New York). She previously served as the executive editor of FCPA Blog and as a senior editor at Complinet, now a part of Thomson Reuters.

Jan Farley
Chief Compliance Officer and Associate General Counsel
Dresser Rand

Jan Farley is the Dresser-Rand Chief Compliance Officer and Associate General Counsel. In this position, he leads the Dresser-Rand global compliance program supporting ethical business conduct and addressing anti-corruption laws, import and export sanctions and controls and other applicable compliance related laws.

Prior to joining Dresser-Rand, Mr. Farley was the Senior Ethics and Compliance Counsel – Eastern Hemisphere for Baker Hughes stationed in London, England. Within this role he was involved in compliance risk assessment, policy and procedure development, due diligence certification, and ethics and compliance training, counseling, and internal investigations. Previously within Baker Hughes he had served as the Division Counsel and Chief Legal Compliance Officer at Baker Oil Tools and as Vice President – Law at Baker Atlas.

Before working at Baker Hughes, Mr. Farley was as an associate in the International Law practice group at the Houston office of Baker & Botts, the Assistant General Counsel for International Operations at Weatherford Incorporated, and the Vice President, General Counsel and Secretary for a NYSE listed health care company.

Jan graduated with honors from the University of Texas Law School in Austin, Texas. He attended the Institute of Advanced International Studies at the University of Paris School of Law II as a Rotary Foundation International Fellow.

Tom Fox
Independent Consultant
Compliance Risk Concepts

Thomas Fox has practiced law in Houston for 30 years. He is now an Independent Consultant, assisting companies with anti-corruption and anti-bribery compliance. He was most recently the General Counsel at Drilling Controls, Inc., a worldwide oilfield manufacturing and service company. He was previously division counsel with Halliburton Energy Services, Inc. where he supported Halliburton’s software division and its downhole division.

Tom is the author of the award winning FCPA Compliance and Ethics Blog and the international best-selling books “Lessons Learned on Compliance and Ethics” and “Best Practices Under the FCPA and Bribery Act”. His book, “GSK in China: A Game Changer for Compliance” was released in August 2013. His latest book is Leadership in Anti-Bribery, which he co-authored with Jon Rydberg. He writes and lectures across the globe on anti-corruption and anti-bribery compliance programs.

George Greanias
Director
Berkeley Research Group

George Greanias has had a wide-ranging career in the private, public, and not-for-profit sectors. For more than 30 years, he has served as an elected public official and transit agency leader, taught and written as a business school professor, consulted with major national and international companies and not-for-profit organizations, and worked as an attorney. He has also authored books and articles on topics ranging from the roles and responsibilities of boards of directors to the genesis and implementation of the Foreign Corrupt Practices Act.

In his public career, Mr. Greanias has served as both council member and controller for Houston, the nation’s fourth largest city. More recently, as president and chief executive officer of Houston’s public Metropolitan Transit Authority, Mr. Greanias led a successful turnaround effort that established new strategic priorities, instituted clear operating principles, and brought order to the authority’s finances; resolved critical compliance issues regarding federally funded rail car purchases, preserved nearly $1 billion in federal grants for new rail construction, and put a major light rail expansion program back on schedule and budget; and negotiated union contracts and made changes to equipment purchase practices that provided greater operational flexibility and more opportunities to provide expanded service at a lower unit cost.

Mr. Greanias also consulted on an extended basis with one of the world’s largest engineering, procurement, and construction firms, and with one of North America’s Class I railroads. In those engagements, his portfolio included executive coaching, strategy development and execution, process improvement, change implementation, and merger integration. He has also facilitated strategic planning initiatives for not-for-profit organizations in education, the arts, and youth development.

Along with these activities, Mr. Greanias from 1977 to 1986 served as a charter member of the Jones Graduate School of Business at Rice University, where he developed innovative cross-disciplinary courses in the legal, social, and political environments of business. He also authored numerous articles and spoke extensively at academic conferences across the United States. Prior to his academic work, Mr. Greanias was an attorney in Houston and New York, specializing in corporate and securities law.

Mr. Greanias is recognized for expertise in strategic planning, change management, leadership development, organizational development and improvement, program management, and team building, as well as on issues specifically involving the effective and efficient operation of corporate and government organizations, and their adaptability to the challenges of change.

Jay G. Martin
Chief Compliance Officer
Baker Hughes Incorporated

JAY G. MARTIN is the Vice President, Chief Compliance Officer and the Senior Deputy General Counsel for Baker Hughes Incorporated (“BHI”). Prior to joining BHI, Mr. Martin was a Shareholder at Winstead Sechrest & Minick P.C., a Partner at Phelps Dunbar and Andrews & Kurth, and the Assistant General Counsel of Mobil Oil Corporation’s Worldwide Exploration and Production Division in Fairfax, Virginia. Mr. Martin has also served as General Counsel of Mobil Natural Gas, Inc. in Houston, Texas. Mr. Martin holds JD, MPA and BBA degrees from Southern Methodist University in Dallas, Texas.

While in private practice, Mr. Martin was engaged in a wide variety of domestic and international energy transactions, and regulatory matters for natural gas exploration and producing companies, oil field service companies, marketers, pipelines and refiners. Mr. Martin’s practice involved such diverse matters as participating in generic federal and state restructuring proceedings in the natural gas and electric industries, drafting virtually every type of domestic and international oil and gas agreement, working on mergers and acquisitions, asset acquisitions and divestitures, handling a significant number of energy lending transactions including but not limited to mezzanine and conventional production based financings and work-out situations, and advising clients on a wide variety of natural gas marketing and processing matters. Mr. Martin also regularly handled problems for clients arising under the Foreign Corrupt Practices Act, the U.S. Economic Sanctions Laws and Arab Boycott Regulation. In addition, Mr. Martin developed broad experience in crisis management, designed corporate compliance programs for clients, and conducted many types of internal investigations for clients.

Ryan McConnell
Partner
McConnell Sovany LLP

Ryan McConnell is a former federal prosecutor who focuses his practice on corporate compliance issues, internal investigations, and white collar criminal defense. He has represented clients in lengthy regulatory investigations and has assisted companies around the world with compliance matters, including program design, tracking, assessment, and due diligence. Ryan advises clients on how to use empirical data to leverage internal resources and create risk-based compliance programs.

Before entering private practice, Ryan served as an Assistant U.S. Attorney in Louisiana and Houston. As part of the U.S. Attorney's office Organized Crime Strike Force in Houston, Ryan tried numerous criminal cases and conducted significant grand jury investigations of international scope on matters ranging from violations of the U.S. trade laws to complex fraud. He also regularly briefed and argued criminal appeals before the U.S. Court of Appeals for the Fifth Circuit. In addition to his trial work, Ryan participated in the planning and execution of undercover operations to enforce U.S. trade controls and was involved in some of the most significant worksite enforcement investigations in the United States. Ryan was also involved in training Department of Justice (DOJ) federal prosecutors, including preparing DOJ training materials on criminal procedure, corporate compliance, and charging. He taught a number of classes, including trial advocacy, to federal prosecutors and investigators at the DOJ National Advocacy Center in Columbia, South Carolina. Outside of his practice, Ryan teaches international corporate compliance and criminal procedure at the University of Houston Law Center. In 2011, he was named faculty member of the year by the UH Advocates, and his corporate compliance course was recently featured on The Wall Street Journal's Law Blog. Ryan is also a columnist for Corporate Counsel magazine, writing the Risky Business column which focuses on compliance and risk issues. Ryan is a frequent speaker on criminal charging and compliance developments. He is also listed in the Who's Who list of Business Crime Defense lawyers and has been named to Ethisphere's list of Attorneys Who Matter for the past three years.

For the last two years, he has organized an Ethics and Compliance Symposium at the University of Houston Law Center that has received national attention in publications ranging from Corporate Counsel to the Wall Street Journal. In 2011, he led an empirical study that analyzed the codes of conduct of Fortune 500 companies, and in 2012 he partnered with the Ethisphere Institute to create a searchable database of publicly available provisions from those codes. Ryan is continuing to develop this database with the University of Houston Law Center.

Over the last five years, Ryan has written numerous articles discussing empirical data gathered from DOJ criminal prosecutions and addressing the DOJ's corporate charging trends, charging principles, and corporate monitors. He also assisted Ethisphere in creating a database of deferred and nonprosecution agreements. His research in this area has been cited by Congress in examining the need for legislation on deferred and nonprosecution agreements, as well as corporate monitors, and his research on corporate charging and compliance has been featured in news publications including USA Today and Corporate Counsel.

Ryan began his career as a law clerk for Judge John C. Godbold of the U.S. Court of Appeals for the Eleventh Circuit. Before founding McConnell Sovany LLP, Ryan was a partner at two global law firms.

Deirdre Patten
President
Patten Training & Review

Ms. Deirdre Patten started her career in 1983, specializing in training and compliance for the Financial Services industry. Over the past 30 years, she has worked with thousands of financial services professionals to help them successfully obtain their securities qualification exams. Ms. Patten also serves as the President Elect on the Board of Directors for the Securities and Insurance Licensing Association (SILA). She currently teaches all FINRA, NYSE, MSRB, NFA and NASAA series exams, in addition to providing regulatory compliance solutions.

Patten Training & Review LLC has access to the top instructors around the country to provide you and your firm with the best training possible. We additionally provide expert industry talent to support your compliance needs. Ms. Patten has operated as FINOP as well as General Securities Principal, Options Principal, and Municipal Principal for several regional firms throughout the country. Ms. Patten currently operates as CFO (FinOp) for BIC Distributors, LLC, StillPoint Capital, LLC, and Oracle Capital LLC, MIP Global, Inc., Vestech Securities as well as President, for Energy Hunter Securities; a wholly-owned subsidiary of Magnum Hunter Resources (NYSE listed company, symbol “MHR”). For almost 17 years, she instructed classes while overseeing the quality of classroom content and classroom instructors for Dearborn Financial Institute, aka Kaplan Financial Education. At Patten Training & Review LLC, we provide all your training and compliance solutions.

Other services offered include mergers and acquisitions, custom content development, editorial review, product rollouts, in-house custom corporate training programs, executive training programs, and we are also available for public speaking engagements.

We have the knowledge, experience and the expertise to help you succeed.

John Sardar
VP Chief Compliance Officer
Noble Energy

John Sardar is the Chief Compliance Officer for Noble Energy, Inc. (”Noble Energy”). Noble Energy is a publicly traded, leading independent energy company engaged in worldwide oil and gas exploration and production. In his role, he oversees all aspects of Noble Energy’s ethics and compliance program globally, and is responsible for implementation and management of the company’s ethics and compliance policies, procedures and guidelines to ensure the company’s employees understand and adhere to Noble Energy’s Code of Conduct, and legal and regulatory requirements.

John has legal experience in both private and in-house practice, and working for the U.S. government. Prior to joining Noble Energy, he was Director, Ethics & Legal Compliance with Baker Hughes Inc., a Fortune 300 provider of oil field products and services to the worldwide oil and gas industry. He previously also worked as Deputy Compliance Officer & Counsel–Litigation with St. Louis-based Charter Communications, Inc. Before that in private practice, he worked with Bryan Cave LLP, an international law firm headquartered in St. Louis, Missouri with over 1,100 lawyers worldwide. John’s governmental experience includes service as a Special Assistant United States Attorney during 1999-2000 with the office of the Special Counsel John C. Danforth to investigate the Federal Bureau of Investigation’s (FBI) role in the 1993 siege and subsequent raid on the Branch Davidian compound in Waco, Texas.

John earned a bachelor’s degree in Economics from California State University at Long Beach, and a law degree from St. Louis University, and is member of the Missouri Bar. He is a frequent speaker at domestic and international conferences addressing legal and regulatory compliance and other international trade law issues.

Matt Toll
Head of Regional Marketing, Americas
Thomson Reuters

Matt Toll is the Head of Regional Marketing, Americas, for Thomson Reuters Financial & Risk. In this role, he is responsible for integrated marketing programs across a variety of channels supporting the Thomson Reuters Accelus and Thomson Reuters Eikon product suites.

Previously, Toll was the global Head of Marketing Communications for the Risk business within Thomson Reuters, responsible for demand generation and awareness initiatives globally for Thomson Reuters Accelus. He has served as both a speaker and moderator at events around the world on topics focused on technology, financial services and marketing.

Prior to joining Thomson Reuters, Toll spent 16 years with Dow Jones in a variety of roles spanning editorial, product management, sales and marketing. He was the Director of Marketing for Institutional Products in Dow Jones’s algorithmic trading products business, working with ground-breaking products for high-frequency traders, FX traders and others in the financial services industry.

Toll also served as the Director of Field Marketing, Americas, for the Dow Jones Enterprise Media Group’s Content Technology Solutions business, overseeing lead-generation campaigns across multiple segments. He also spent seven years with Factiva, a joint venture between Dow Jones and Reuters, developing its award-winning Enterprise Consulting group before spending three years as a sales executive working with some of Factiva’s largest customers in the telecommunications, energy and healthcare industries. He then spent three years in product management, developing new product offerings for Factiva’s innovative XML platform before moving to the marketing group.

Before joining Dow Jones, Toll spent seven years as a sportswriter for the Boston Herald and Philadelphia Inquirer, and as a freelance contributor to Sports Illustrated and other publications.

SAN FRANCISCO

Catherine Barnes
Project Administrator, Internal Audit Division
Cambia Health

Cathy Barnes works for Cambia Health Solutions (Cambia), a nonprofit total health solutions company headquartered in Portland, Oregon. Through insurance, wellness, and consumer engagement products and services, Cambia promotes health and helps people make informed decisions about their health care. You are probably more familiar with our insurance services, which include Regence BlueCross BlueShield of Oregon and Utah, BlueShield of Idaho, and Regence BlueShield in Washington.

Cathy has worked in the healthcare industry in Internal Audit for the past 23 years, 14 of those years have been with Cambia. Cathy is responsible for conducting Internal Audit projects, both independently and collaboratively within her division.

The Internal Audit division acquired AutoAudit for Lotus Notes in 2000 and GRC in 2010, both with Paisley Consulting at the time. Cathy was the administrator for AutoAudit and managed several customizations as well as upgrades for the application. She is currently the back-up administrator and product coordinator for GRC, and most recently was the Project Manager for their GRC 4.4 Upgrade.

Tom Fox
Independent Consultant
Compliance Risk Concepts

Thomas Fox has practiced law in Houston for 30 years. He is now an Independent Consultant, assisting companies with anti-corruption and anti-bribery compliance. He was most recently the General Counsel at Drilling Controls, Inc., a worldwide oilfield manufacturing and service company. He was previously division counsel with Halliburton Energy Services, Inc. where he supported Halliburton’s software division and its downhole division.

Tom is the author of the award winning FCPA Compliance and Ethics Blog and the international best-selling books “Lessons Learned on Compliance and Ethics” and “Best Practices Under the FCPA and Bribery Act”. His book, “GSK in China: A Game Changer for Compliance” was released in August 2013. His latest book is Leadership in Anti-Bribery, which he co-authored with Jon Rydberg. He writes and lectures across the globe on anti-corruption and anti-bribery compliance programs.

Austin Groome
Senior Manager
Accenture Finance & Risk Practice

Austin Groome is a Senior Manager at Accenture, with broad experience in the financial services industry with and an emphasis on the capital markets, compliance and operational risk management. Prior to joining Accenture, Austin was an Managing Principal at Capco, a Financial Services Consulting firm. Previous to that, he was the business support manager for State Street’s currency management group where he led client on-boarding and development of foreign exchange hedging strategies. Austin began his career in Foreign exchange trading working at the bank of Ireland, Sumitomo trust and banking Corp and Fidelity investments. Austin has extensive consulting experience through his work at BearingPoint/KPMG where he clients included Deutsche Bank, JP Morgan Chase, Merrill Lynch and Morgan Stanley.

Peter Huston
Assistant Chief
US Department of Justice Antitrust Division

Peter Huston is the Assistant Chief of the San Francisco office of the Antitrust Division of the United States Department of Justice where he works on both criminal and civil antitrust enforcement matters. He was the lead trial attorney in the Division’s successful criminal prosecution of two corporate defendants and two individual executives for price fixing in the TFT-LCD industry following a lengthy investigation and eight week jury trial. He was also recently the lead trial attorney in a three week bench trial seeking to unwind a consummated merger among two providers of on-line product ratings and review software. While working for the Department of Justice he has received the Attorney General’s Distinguished Service Award for outstanding service, the Antitrust Division Award of Distinction in 2011 and 2014, the California Lawyer magazine Attorney of Year Award, and was named as one of the top 100 lawyers in California by the Daily Journal.

Prior to joining the Department of Justice, Peter was a litigation partner at the global law firm of Latham & Watkins LLP where he spent the first 20 years of his career. He was a member of the firm’s Antitrust and Competition Practice Group and a member of the firm’s Corporate Social Responsibility Working Group. While in private practice, Peter focused on federal and state competition matters, including criminal cartel matters, and other complex litigation. He tried cases both to juries and the bench. In addition to litigation, he represented clients with antitrust issues arising in the merger and acquisition context.

Randall Mikkelsen
North American managing editor, Compliance and Regulatory Risk
Thomson Reuters Accelus

Randall Mikkelsen is North American managing editor, Compliance and Regulatory Risk, at Thomson Reuters Accelus., a position he has held since 2011.He has worked as a financial and political journalist with Reuters, and then Thomson Reuters, from 1988. He has covered the White House, Justice Department, CIA, the Congress and other agencies in Washington, and covered economic and general news from postings in Philadelphia and Stockholm, Sweden. He also served as a Reuters World Desk editor for the Americas. He has won awards from the Society of American Business Editors and Writers and the North Dakota Newspaper Association. Randall has a bachelor's degree in English and master's in journalism from the University of Minnesota.

Steve Morang
Senior Manager
Frank, Rimerman + Co. LLP

Steve Morang is a Senior Manager in our Assurance and Advisory Department and has over 20 years of auditing, consulting and management experience working with companies in the United States and Europe. He leads our Advisory GRC Practice and as a result oversees all of Frank, Rimerman + Co.’s Sarbanes-Oxley, Internal Audit, Foreign Corrupt Practices Act and Fraud Investigation engagements.

Steve graduated from Webster University and received his M.B.A. in Finance. He is also a Certified Fraud Examiner, Certified Internal Auditor and holds the Certification in Risk Management Assurance. Steve is a frequent speaker at local, regional and national events, as well as being a published author on the topics of Internal Audit, Risk Management and Fraud. He is the current President of the San Francisco Chapter of the Association of Certified Fraud Examiners.

Aaron G. Murphy
Partner
Akin Gump

Aaron G. Murphy is a partner in the San Francisco office of Akin Gump. He is a white collar criminal defense attorney with extensive experience in anti-corruption compliance and investigations. He is the author of the highly regarded Foreign Corrupt Practices Act: A Practical Resource for Managers and Executives, published by John Wiley & Sons and is quoted regularly in national news media on corruption issues.

Mr. Murphy’s anti-corruption practice includes everything from basic compliance advice to internal investigations, voluntary disclosures, and negotiated resolutions with the Department of Justice and the Securities & Exchange Commission.

Mr. Murphy has advised on many FCPA matters in Asia, Africa, the Middle East, Central Asia, South America and Europe. His experience includes lead investigative roles with on-the-ground FCPA experience in Bangladesh, Brazil, China, Denmark, Egypt, France, Hong Kong, India, Indonesia, Kazakhstan, Mexico, the Netherlands, Poland, Russia, Switzerland, Taiwan, Thailand, the United Arab Emirates, and the United Kingdom. He also consults on transactions, investigations, and compliance issues throughout the world, including specific advice on issues arising in: Colombia, the Dominican Republic, El Salvador, Ghana, Honduras, Iraq, Macau, Morocco, Nigeria, Pakistan, Peru, the Philippines, Romania, South Korea, Sri Lanka, Turkey, Vietnam and Sweden.

Mr. Murphy also handles domestic corruption matters and has experience with a wide variety of other substantive white collar areas (including OFAC issues, money laundering, mail and wire fraud, quit tam litigation, criminal tax matters, and SEC enforcement actions).

Mr. Murphy is a member of both the California and Utah Bar Associations.

Jorge Rodriguez
Principal Consultant
ACA Compliance Group

Jorge Rodriguez joined ACA in 2011. As a Principal Consultant in the San Francisco Bay Area, Jorge prepares investment advisers for federal registration and helps them to develop, implement, and test their compliance programs. In addition to providing consulting services, Jorge regularly conducts compliance training sessions for investment advisers and frequently speaks at industry events focusing on regulatory issues affecting investment advisers and pension funds.

Before joining ACA, Jorge was a Compliance Officer at the TCW Group (TCW) and an Examiner at the U.S. Securities & Exchange Commission (SEC). While at TCW, Jorge oversaw compliance with various internal policies and procedures, conducted several aspects of the annual compliance review, and coordinated internal audits and regulatory examinations. While at the SEC, Jorge led investment adviser examinations, trained new examiners, and participated in certain “sweep” examinations. Jorge began his career as a Financial Analyst at JP Morgan Chase. Jorge earned a JD from the UCLA School of Law and an MBA from the UCLA Anderson School of Management. While at UCLA, Jorge interned with the Compliance Group of Guggenheim Partners Asset Management, LLC and the Enforcement Division of the State Bar of California. Jorge also interned with the Regulation Division of the Financial Industry Regulatory Authority. Jorge earned a BS in Business Administration from the UC Berkeley Haas School of Business. He is a Riordan Fellow at the UCLA Anderson School of Management, a Law Fellow at the UCLA School of Law, and a member of ALPFA, the CFA Institute, the National Society of Hispanic MBAs, and the New America Alliance.

Jim Smith
Senior Compliance Professional

Jim Smith is a senior compliance professional with wide-ranging experience implementing compliance programs both domestically and internationally for investment management, investment advisor, and broker-dealer organizations. Jim was most recently the Chief Compliance Officer for RS Investment Management Co. LLC, and the RS Mutual Funds. Jim brings an action-oriented team approach to issue identification and resolution, including detailed planning, communication, and organizational abilities. He has focused on incorporating compliance into the ever changing business model within the financial industry.

Jim’s expertise includes extensive experience with SEC, IRS, FINRA, and MSRB rules and regulations and regulatory exams as well as experience working with board members, auditors, sub-advisers, and various investment company service providers. He holds various securities licenses including Series 6, 7, 24, 26, 51, 63 and 99

Carl Sheeler
Director Global Group Leader Family Office/Business
Berkeley Research Group

Dr. Carl Sheeler brings wisdom gained from his 25 years of litigation expertise coupled with his corporate governance, business/military operations, strategic planning, finance, and academic background to address complex risk measurement, management, and mitigation issues. Dr. Sheeler’s court/IRS qualified litigation and public and private equity/enterprise valuation expertise includes testimony on numerous breach of duty, damages/diminution of value/lost income, class action, dissenting/oppression shareholder, partner, and tax authority disputes. Industry clients include defense contractors, manufacturers, transportation, technology, professional and business services, as well as asset holding companies (holding esoteric assets ranging from funds, intellectual, real, and personal property as other alternative and traditional assets). He has testified on 165 occasions and opined on value/damages matters on more than 1,000 engagements.

His public and private company experience includes family business/office valuation and advisory services associated with intergenerational planning, equity transfers with estate and gift tax issues, as well as partial and full liquidity event options and disruptions.

Dr. Sheeler distills complex issues and relevant facts into opinions and advice that is understandable to the non-expert and which may be applied by boards, founders, executives, and their trusted advisors in transfer, tax, and transactional matters. He is an authority on trust and estate and ESOP valuation issues such as how agreement provisions, asset allocation, and holding periods associated with equity ownership in asset holding and operating companies influence risk. This unique set of skills allows him to consider the factors and impairments as they relate to investor-proposed "discounts" associated with equity ownership.

He is a national thought-leader on identifying and quantifying risks and how intangible assets create, enhance, and diminish value. He has written and presented more than 300 treatises on valuation, merger, acquisition, divesture, and litigation-related matters. He serves on two national valuation boards and is authoring a Value Creation treatise for John Wiley & Sons.

Petra Tang
Partner
Berry Appleman & Leiden LLP

Petra Tang is a Partner in the San Francisco office of Berry Appleman & Leiden LLP. Ms. Tang’s practice focuses on both non-immigrant and immigrant business visa issues. She advises and represents clients in a variety of industries, with a primary focus on the high tech industry. Ms. Tang has extensive experience counseling large multinational corporations on immigration issues arising from corporate reorganizations, mergers, and layoffs; managing PERM recruitment programs; and filing non-immigrant and immigrant petitions, including in the outstanding researcher and multinational manager/executive categories.

Matt Toll
Head of Regional Marketing, Americas
Thomson Reuters

Matt Toll is the Head of Regional Marketing, Americas, for Thomson Reuters Financial & Risk. In this role, he is responsible for integrated marketing programs across a variety of channels supporting the Thomson Reuters Accelus and Thomson Reuters Eikon product suites.

Previously, Toll was the global Head of Marketing Communications for the Risk business within Thomson Reuters, responsible for demand generation and awareness initiatives globally for Thomson Reuters Accelus. He has served as both a speaker and moderator at events around the world on topics focused on technology, financial services and marketing.

Prior to joining Thomson Reuters, Toll spent 16 years with Dow Jones in a variety of roles spanning editorial, product management, sales and marketing. He was the Director of Marketing for Institutional Products in Dow Jones’s algorithmic trading products business, working with ground-breaking products for high-frequency traders, FX traders and others in the financial services industry.

Toll also served as the Director of Field Marketing, Americas, for the Dow Jones Enterprise Media Group’s Content Technology Solutions business, overseeing lead-generation campaigns across multiple segments. He also spent seven years with Factiva, a joint venture between Dow Jones and Reuters, developing its award-winning Enterprise Consulting group before spending three years as a sales executive working with some of Factiva’s largest customers in the telecommunications, energy and healthcare industries. He then spent three years in product management, developing new product offerings for Factiva’s innovative XML platform before moving to the marketing group.

Before joining Dow Jones, Toll spent seven years as a sportswriter for the Boston Herald and Philadelphia Inquirer, and as a freelance contributor to Sports Illustrated and other publications.

Carl Sheeler
Director Global Group Leader Family Office/Business
Berkeley Research Group

Dr. Carl Sheeler brings wisdom gained from his 25 years of litigation expertise coupled with his corporate governance, business/military operations, strategic planning, finance, and academic background to address complex risk measurement, management, and mitigation issues. Dr. Sheeler’s court/IRS qualified litigation and public and private equity/enterprise valuation expertise includes testimony on numerous breach of duty, damages/diminution of value/lost income, class action, dissenting/oppression shareholder, partner, and tax authority disputes. Industry clients include defense contractors, manufacturers, transportation, technology, professional and business services, as well as asset holding companies (holding esoteric assets ranging from funds, intellectual, real, and personal property as other alternative and traditional assets). He has testified on 165 occasions and opined on value/damages matters on more than 1,000 engagements.

His public and private company experience includes family business/office valuation and advisory services associated with intergenerational planning, equity transfers with estate and gift tax issues, as well as partial and full liquidity event options and disruptions.

Dr. Sheeler distills complex issues and relevant facts into opinions and advice that is understandable to the non-expert and which may be applied by boards, founders, executives, and their trusted advisors in transfer, tax, and transactional matters. He is an authority on trust and estate and ESOP valuation issues such as how agreement provisions, asset allocation, and holding periods associated with equity ownership in asset holding and operating companies influence risk. This unique set of skills allows him to consider the factors and impairments as they relate to investor-proposed "discounts" associated with equity ownership.

He is a national thought-leader on identifying and quantifying risks and how intangible assets create, enhance, and diminish value. He has written and presented more than 300 treatises on valuation, merger, acquisition, divesture, and litigation-related matters. He serves on two national valuation boards and is authoring a Value Creation treatise for John Wiley & Sons.

CHICAGO

Mitch Avnet
Founder & Managing Partner
Compliance Risk Concepts

Mitch Avnet is the founder and Managing Partner of Compliance Risk Concepts (“CRC”). Avnet is responsible for business development, relationship management and overseeing the execution of all client driven / business focused Compliance and Ethics Risk Management strategic engagements.

Prior to launching CRC, Avnet was a member of Corporate Leadership Group (CLG) at Lincoln Financial Group (LFG) where he was Senior Vice President and Chief Ethics and Compliance Officer, having direct oversight of the company’s anti-money laundering, privacy, ethics and compliance risk management programs. In addition, Avnet maintained responsibility for Lincoln’s entire Compliance and Ethics Technology strategic initiatives, developing and implementing a long term strategic approach to upgrade and modernize the effectiveness and efficiency of Lincoln’s overall Compliance programs. Avnet was a member of the Social Media Governance Committee, having direct influence regarding LFG’s overall strategy toward the enablement and usage of Social Media outlets across the LFG footprint.

Throughout the course of Avnet’s 22-year career in the financial services industry, he has worked for top-tier investment banks, commercial banks and hedge funds such as Wachovia Capital Markets, PNC Bank and D E Shaw, developing an extensive knowledge of both buy side and sell side businesses, with a deep understanding of Equity and Fixed Income Markets, Derivative Instruments, Structured Products, Variable Products and Alternative Investments.

Avnet has built Compliance Risk Management programs to support the manufacturing / origination and distribution of proprietary products (closed architecture), as well as source third party products on behalf of customers / client relationships (open architecture)., Avnet has served in leadership roles, building and integrating Compliance teams to be a meaningful and sought after component of the business process.

Avnet maintains the Series 3, 4, 7, 9, 10, 14, 24, 55, 63 and 65 securities license designations. He obtained his bachelor’s degree in economics, graduating magna cum laude from the State University of New York at Oneonta.

Benjamin Bard
Vice President, Global Chief Compliance Officer
Archer Daniels Midland Company

Benjamin Bard is Vice President, Global Chief Compliance Officer of Archer Daniels Midland Company (ADM). In this capacity, Mr. Bard is responsible for ADM’s Office of Compliance and oversees the company’s global compliance policies and programs, including the code of conduct, ethics helpline, anti-corruption program, trade compliance, antitrust/competition law, data privacy/protection, and conflict of interest policies.

Prior to joining ADM, Mr. Bard worked for The Coca-Cola Company where he was responsible for managing the company’s international ethics and compliance programs, including anti-corruption, global trade sanctions, anti-boycott, conflicts of interest and third party due diligence. Prior to his time at Coca-Cola, Mr. Bard worked in compliance and risk management roles for Capital One Financial Corporation.

Mr. Bard earned a Bachelor of Arts degree from Northwestern University and a Juris Doctor from Case Western Reserve University School of Law.

Terra Brown Reynolds
Counsel
Paul Hastings

Terra Brown Reynolds is of counsel in the Litigation department of Paul Hastings and is based in the firm’s Chicago office.

Prior to joining Paul Hastings, she served with distinction from 2003 to 2014 as an Assistant U.S. Attorney in the Northern District of Illinois, most recently as a Deputy Chief in the General Crimes Unit. Terra has extensive experience in a broad range of investigations and prosecutions, having tried more than a dozen federal criminal cases and led numerous complex investigations involving a diverse array of subject matters, including racketeering, health care fraud, corporate fraud, securities fraud, tax fraud and multinational narcotics trafficking conspiracies. Terra also has briefed and argued many matters before the U.S. Court of Appeals for the Seventh Circuit.

Elin Cherry
Principal and Head of Capital Markets Practice
Compliance Risk Concepts (CRC)

Capital Markets Practice at Compliance Risk Concepts (“CRC”) is a management consulting organization focused on the intersection of Compliance and Technology protocols for Financial and Non-Financial Services companies. Elin is responsible for business development, relationship management and overseeing the execution of all client driven / business focused Compliance, Ethics and Operational Risk Management strategic engagements.

Elin is a Capital Markets and Compliance Executive known for gaining regulator confidence. She has served as a key member of Compliance Senior Management teams. Elin is focused on achieving corporate and department goals by successfully implementing Compliance Programs.

Elin has a proven track record in managing regulatory relations and examinations. She has strengthened firm’s credibility with regulators during times of financial stress. Elin is also recognized for building alliances between firm's, regulators, and business units. She is adept at creating Compliance management reporting to enable Firm’s to be proactive regarding Compliance matters.

Previously Elin was Director and Head of Business Unit Compliance, for CIT Group Inc. Elin was a member of the Compliance senior management team with responsibility for the US business compliance programs, BUCOs, broker-dealer compliance, and CIT Bank team. Prior to CIT Elin was at Societe Generale, where she served as Managing Director, Head of Global Markets Compliance and Deputy Director to the Chief Compliance Officer. Elin also held senior compliance positions at Deutsche Bank Securities Inc. and Banc of America Securities.

She holds a JD from the University of Denver College of Law and received her BA, cum laude, from the University of Colorado.

Elin is married with two children and lives in Westfield, New Jersey. She is Treasurer and on the Board of Directors of MORE After School, Inc. Elin also coaches an Odyssey of the Mind team. Elin enjoys skiing, hiking and spending time with her family.

Ann Ford
Chief Compliance Officer
Medline Industries, Inc.

Ann Ford is the Chief Compliance and Corporate Integrity Officer and Privacy Officer for Medline Industries, Inc., a global medical supply company. Ann oversees all aspects of Medline’s ethics and compliance program. For several years before coming to Medline, Ann, an experienced healthcare attorney, was General Counsel and Chief Compliance Officer for two hospitals in the Chicago area. As hospital General Counsel and Chief Compliance Officer, she was responsible for providing advice and counsel on multiple issues, including transactional, litigation and regulatory matters. Prior to her in-house positions, Ann represented hospitals, physicians and other health care providers in litigation. She began her healthcare career as a nurse, working in critical care pediatric, neonatal and obstetric units. Ann has a B.S. in Nursing from Marquette University and a J.D. from DePaul College of Law.

H. David Kotz
Director
Berkeley Research Group

H. David Kotz presently serves as a Director at Berkeley Research Group, a leading global expert services and consulting firm that provides independent expert testimony, litigation and regulatory support, authoritative studies, strategic advice, and document and data analytics to major law firms, Fortune 500 corporations, government agencies, and regulatory bodies around the world.

Mr. Kotz focuses on internal investigations and matters relating to Foreign Corrupt Practices Act and Anti-Money Laundering regulations. He also serves as a compliance monitor for firms that have entered into deferred prosecution agreements and similar arrangements with government agencies. He also serves as an expert witness in litigation matters relating to securities regulation and the identification of fraud.

Prior to Berkeley Research Group, Kotz served for over 4 years as the Inspector General of the Securities and Exchange Commission (SEC). During his tenure at the SEC, he authored the landmark, widely publicized report investigating the failure of the SEC to uncover Bernard Madoff’s $50 billion Ponzi scheme. Mr. Kotz also authored numerous high-profile reports of investigation while at the SEC concerning, among others, a $7 billion alleged Ponzi scheme perpetrated by Allen Stanford, an SEC settlement of enforcement action against Bank of America, and alleged SEC coordination with Congress and the White House concerning the timing of the bringing of an enforcement action against Goldman Sachs & Co. In addition, he authored a landmark audit report analyzing the SEC’s oversight of Bear Stearns and the reasons for its collapse. He has testified before Congress, including televised appearances before the House Financial Services Committee and Senate Banking Committee regarding the Madoff and Stanford Ponzi schemes. He also previously served as Inspector General of the Peace Corps.

Randall Mikkelsen
North American managing editor, Compliance and Regulatory Risk
Thomson Reuters Accelus

Randall Mikkelsen is North American managing editor, Compliance and Regulatory Risk, at Thomson Reuters Accelus., a position he has held since 2011.He has worked as a financial and political journalist with Reuters, and then Thomson Reuters, from 1988. He has covered the White House, Justice Department, CIA, the Congress and other agencies in Washington, and covered economic and general news from postings in Philadelphia and Stockholm, Sweden. He also served as a Reuters World Desk editor for the Americas. He has won awards from the Society of American Business Editors and Writers and the North Dakota Newspaper Association. Randall has a bachelor's degree in English and master's in journalism from the University of Minnesota.

Carl Sheeler
Director Global Group Leader Family Office/Business
Berkeley Research Group

Dr. Carl Sheeler brings wisdom gained from his 25 years of litigation expertise coupled with his corporate governance, business/military operations, strategic planning, finance, and academic background to address complex risk measurement, management, and mitigation issues. Dr. Sheeler’s court/IRS qualified litigation and public and private equity/enterprise valuation expertise includes testimony on numerous breach of duty, damages/diminution of value/lost income, class action, dissenting/oppression shareholder, partner, and tax authority disputes. Industry clients include defense contractors, manufacturers, transportation, technology, professional and business services, as well as asset holding companies (holding esoteric assets ranging from funds, intellectual, real, and personal property as other alternative and traditional assets). He has testified on 165 occasions and opined on value/damages matters on more than 1,000 engagements.

His public and private company experience includes family business/office valuation and advisory services associated with intergenerational planning, equity transfers with estate and gift tax issues, as well as partial and full liquidity event options and disruptions.

Dr. Sheeler distills complex issues and relevant facts into opinions and advice that is understandable to the non-expert and which may be applied by boards, founders, executives, and their trusted advisors in transfer, tax, and transactional matters. He is an authority on trust and estate and ESOP valuation issues such as how agreement provisions, asset allocation, and holding periods associated with equity ownership in asset holding and operating companies influence risk. This unique set of skills allows him to consider the factors and impairments as they relate to investor-proposed "discounts" associated with equity ownership.

He is a national thought-leader on identifying and quantifying risks and how intangible assets create, enhance, and diminish value. He has written and presented more than 300 treatises on valuation, merger, acquisition, divesture, and litigation-related matters. He serves on two national valuation boards and is authoring a Value Creation treatise for John Wiley & Sons.

Scott Swanson
Practice Leader, Global Risk & Compliance
Doculabs

Scott Swanson, CFE, CFCI, leads Doculabs’ practice in Global Risk and Compliance solutions. He has more than 20 years of global risk and resiliency experience in both the public and private sector, across a wide range of industries. At Doculabs, Scott provides clients with independent reviews, program development, enhanced due diligence, and in identifying risk or compliance gaps.

Prior to Doculabs, Scott was an advisor to the U.S. Intelligence and Special Operations community, where he was involved in classified security programs to mitigate risks, identify threats, and assess vulnerabilities that included monitoring illicit value exchanges, improper information disclosure, critical infrastructure security, and supply chain due diligence. Within the corporate landscape, Scott has been an executive consultant with top-tier public accounting firms as a financial crimes expert in Anti-Money Laundering (AML), Fraud, and Anti-Corruption; enhanced due diligence; and forensic data and accounting investigator. He served the high-tech sector in C-suite intelligence strategy, sanction compliance, intellectual property containment, and counterfeit / grey market abatement.

Scott is a certified Fraud Examiner, Financial Crimes Investigator, and Data Forensics Investigator. He holds a post-graduate degree in Security and Counterterrorism from the University of St. Andrews, a Masters in Strategic Intelligence from the American Military University, a graduate Information Technology certificate from Drexel University, and a foreign language undergraduate degree from Illinois State University. He frequently writes and speaks about how companies can navigate the hazards of oversight, security, and scrutiny, without excessively hindering business operations.

Matt Toll
Head of Regional Marketing, Americas
Thomson Reuters

Matt Toll is the Head of Regional Marketing, Americas, for Thomson Reuters Financial & Risk. In this role, he is responsible for integrated marketing programs across a variety of channels supporting the Thomson Reuters Accelus and Thomson Reuters Eikon product suites.

Previously, Toll was the global Head of Marketing Communications for the Risk business within Thomson Reuters, responsible for demand generation and awareness initiatives globally for Thomson Reuters Accelus. He has served as both a speaker and moderator at events around the world on topics focused on technology, financial services and marketing.

Prior to joining Thomson Reuters, Toll spent 16 years with Dow Jones in a variety of roles spanning editorial, product management, sales and marketing. He was the Director of Marketing for Institutional Products in Dow Jones’s algorithmic trading products business, working with ground-breaking products for high-frequency traders, FX traders and others in the financial services industry.

Toll also served as the Director of Field Marketing, Americas, for the Dow Jones Enterprise Media Group’s Content Technology Solutions business, overseeing lead-generation campaigns across multiple segments. He also spent seven years with Factiva, a joint venture between Dow Jones and Reuters, developing its award-winning Enterprise Consulting group before spending three years as a sales executive working with some of Factiva’s largest customers in the telecommunications, energy and healthcare industries. He then spent three years in product management, developing new product offerings for Factiva’s innovative XML platform before moving to the marketing group.

Before joining Dow Jones, Toll spent seven years as a sportswriter for the Boston Herald and Philadelphia Inquirer, and as a freelance contributor to Sports Illustrated and other publications.

Kreg Weigand
Partner
KPMG LLP

Kreg Weigand is a partner in KPMG’s Advisory practice with over 22 years of risk management experience. He is a national leader in the firm’s Enterprise Risk Management (ERM) / Governance, Risk and Compliance (GRC) practice.

In addition to his focus on risk management services, Kreg has significant experience in facilitating executive management and boards, program management, corporate governance, data / information privacy, operational process improvement, compliance and audit.

  • Assisted a global money services company in the development of its risk management program and rollout of the program over a multi-year period including embedding risk management into key processes such as program management.
  • Acted as the interim Chief Risk Officer for the U.S.-based life and annuity subsidiary of one of the top five global insurance companies during the initial roll-out of ERM, a credit agency review and a regulator review.
  • Assisted one of the largest multi-line insurance companies in the United States with an assessment of its ERM maturity and risk management capabilities versus the company’s industry peer group.
  • Assisted the U.S.-based multi-line subsidiary of a top five global insurance company with an assessment of its operational risk management capabilities versus leading practices and recommending opportunities to converge risk management governance, organizational structure, key processes and supporting technologies.
  • Assisted a FORTUNE 25 U.S.-based health insurer with assessments of its emerging risk portfolio and facilitated executive sessions on new risk identification, organizational design and scenario analysis.
  • Assisted one of the top 10 banks in the United States with a review of the operational risk portion of its Basel II compliance program, including coordination across multiple work streams, internal loss reporting, external loss benchmarking, scenario analysis and BEICF.
  • Assisted a top five global life and annuity insurance company summarize their risk management structure and prepare clients for an FSA ARROW regulatory examination, as well as assisting with post examination remediation.
  • Facilitated executive management discussions with financial services and healthcare clients to determine strategic alignment, governance, risk management visioning, prioritizing business risks and implementation of action items.
  • Assisted a top US healthcare provider to create a converged risk management framework and drive management consensus / communication to support and implement an envisioned ERM process across physician and hospital support functions.
  • Managed a staff of over 400 professionals across customer care, risk management, finance, information systems, telecommunications and project/program management through effective strategic alignment, governance and accountability.
  • Assisted multiple clients in GRC tool selection, roadmap development and implementation across up to 18 risk functional areas globally. A key success factor was the development of a change management communication plan that aligned to each client’s culture.
  • Created the processes and a council to determine the appropriate use of data in a company’s information assets. This also included designing and assisting with the implementation of a data stewardship program.
  • Managed an intense seven-month customer care project (including independent contractors) to integrate five separate customer care infrastructures into a seamless client interaction model. Led several of the workstreams over a three-year period to deliver the framework including automating data entry, IT infrastructure integration, designing middleware to cleanse data contributed by over 6,000 financial institutions for risk management and outsourcing operations (to Canada and India).
  • Assisted a client to design a strategic data contribution framework that included annual benefits of $4 million in cost takeout, $3.6 million in cost avoidance and $525K in new revenue.
  • Managed a project implementation on behalf of a client spanning 26 global business locations over a two-year period that required over 120,000 hours of resource effort. The project involved overseeing a wide-range of stakeholders including internal process owners, independent validators and external subject matter professionals.
  • Engaged on behalf of the board to perform a global risk assessment for an industry leading engineering firm. The risk assessment led to a project to design and implement an ERM program and deep dives into existing risk management capabilities in China and governance.
  • Performed a risk maturity assessment for a top US regional bank. The assessment was in preparation for a regulator review and included benchmarking the organization against industry leading practices for ERM.
  • Assisted the second largest public transit system in the US to develop a risk portfolio (in aggregate and by business unit), prior
  • Engaged by a $17B portfolio management firm to build an ERM capability to facilitate prioritization of risk management initiatives and implement ongoing capabilities to identify new/emerging risks.
  • Assisted a large global retailer to enhance their strategic planning process by including risk management concepts and processes during the annual planning process.
  • Provided feedback to a large privately held company on how to effectively implement ERM recognizing that they had a strong culture of consensus.
  • Facilitated a higher education risk assessment to create an annual audit plan. The risk assessment led to a deep dive into the IT risks facing the organization.
  • Performed risk assessments, emerging risk discussions and maturity assessments across healthcare providers, insurers and medical device manufacturers.

Gretchen A. Winter
Executive Director of the Center for Professional Responsibility in Business
College of Business at the University of Illinois

Gretchen A. Winter, J.D. is the Executive Director of the Center for Professional Responsibility in Business and Society at the College of Business at the University of Illinois at Urbana-Champaign (the "Center").

Ms. Winter also serves as a member of the Executive Board of the Association for Practical and Professional Ethics and of the Steering Committee for the National Center for Professional and Research Ethics. She has taught with the UIUC College of Law and College of Business as well as with the Universite de Cergy-Pontoise School of Law and with various Ethics and Compliance Officer Association educational programs. She also is Program Director for The Conference Board Global Council on Business Conduct.

Ms. Winter chaired the Ethics and Compliance Officer Association Board of Directors, and she has been on professional responsibility, business conduct, and ethics committees and programs for the Practising Law Institute, The Conference Board, the American Bar Association, the Society of Corporate Compliance and Ethics, and DePaul University. She authored a note on professional responsibility in the International Review of Compliance and Business Ethics (April 2014, Lexis-Nexis) and has co-authored several articles for practitioners.

Prior to joining the Center in 2007, she worked for 18 years at Baxter International Inc. and served for more than a decade as Vice President and Counsel, Business Practices, and developed the company's global ethics program. Ms. Winter also has worked as an attorney with Seyfarth Shaw, a law firm in Chicago, and as a legislative analyst with the State of Illinois.

Ms. Winter received her J.D. from the University of Chicago and her bachelor's degree from the University of Illinois at Chicago. She serves as an active member of a number of not-for profit boards, including Leadership Greater Chicago Fellows Association and the Board of Visitors for the College of Liberal Arts and Sciences at the University of Illinois-Chicago. She also is active in alumni activities at The University of Chicago Law School, chaired the Western Illinois University Board of Trustees, and served as a member of the Illinois Student Assistance Commission. Ms. Winter also has chaired boards and committees for community organizations including Lutheran Child and Family Service of Illinois, Pegasus Players, Project LEAP (Legal Elections in All Precincts), and the Evanston Hospital Institutional Review Board.

Martin Woods
Money Laundering Reporting Officer
Thomson Reuters

Martin Woods serves as the Money Laundering Reporting Officer for regulated transaction businesses within Thomson Reuters. He is an anti-money laundering subject matter expert. As a former detective in the National Crime Squad, Martin investigated and arrested money launderers, now within the financial services industry he applies his knowledge and learning to deter, detect and defeat the money launderers. He is an innovator in financial crime and anti-money laundering systems and controls. He has been highly commended by regulators and is often called upon by commentators to provide a valued insight into emerging financial crime threats and trends.

Most recently he has advised upon the drafting of the Global Policy and Standards for the Accelus Org ID Managed Service. He is an expert witness and has previously been engaged by a number of parties, including the United Nations to advise and support investigation and litigation strategies. He is presently researching the criminal use of offshore companies, nominee parties and accommodation addresses.

ATLANTA

Julie DiMauro
Regulatory Intelligence and e-Learning Expert
Thomson Reuters Accelus

Julie DiMauro is a regulatory intelligence and e-learning expert in the GRC division of Thomson Reuters Accelus (New York). She previously served as the executive editor of FCPA Blog and as a senior editor at Complinet, now a part of Thomson Reuters.

Scott Hilsen
Director, Forensics
KPMG, LLP

Scott Hilsen is a Director in the Atlanta office of KPMG LLP’s Forensic Advisory Services practice and has over 20 years of investigatory and legal experience. He is a lawyer and a Certified Fraud Examiner, and he focuses on assisting clients with internal and governmental investigations, anti-bribery and corruption, regulatory compliance, and eDiscovery.

Prior to joining KPMG, Scott was a partner in an AmLaw Top 50 Law Firm where he specialized in performing financial, accounting, and regulatory investigations, securities litigation, and compliance. His engagements have involved bribery and corruption, financial and accounting fraud, conflicts of interest, kickbacks, false claims, and insider trading, among other things. Scott is the President of the Georgia Chapter of the Association of Certified Fraud Examiners, he is on the ACFE’s National Advisory Council, and he is a member and former Chair of the Forensic Accounting Advisory Board at Georgia Southern University. He is the Co-Chair of the eDiscovery Section of the State Bar of Georgia, and the former Co-Chair of the Securities and Corporate Litigation subsection of the Atlanta Bar Association. He has been chosen repeatedly by Law and Politics as a Georgia Super Lawyer.

Representative Engagements:
- Managed a comprehensive regulatory compliance review, including anti-bribery and corruption, in Australia for a U.S. public company with $1 billion in revenues that provides insurance claim services and business outsourcing solutions around the world.
- Provided a suite of anti-bribery and corruption services for a global multi-media company across Europe, Asia, and Latin America, and included comprehensive anti-bribery and corruption risk assessments, internal control assessments; control testing, and employee training.
- Led multiple anti-corruption risk and gap assessments, control and transaction testing, anti-corruption compliance programs development and implementation, and training throughout Europe and Asia..
- Represented a technology company in Department of Justice FCPA monitor review as the result of a non-prosecution agreement. Shadowed monitor’s compliance investigation and drafted anti-corruption and bribery policies and procedures and counseled company on anti-corruption compliance.
- Anti-bribery and corruption investigation of automaker regarding practices involving Russian customs officials.
- Led independent investigation of the Republican Party of Florida focusing on improper spending and kickbacks by party officials. The investigation identified nearly $500,000 in improper expenses and conflict of interest transactions, and led to the conviction of the Party’s Chairman.

Scott Killingsworth
Partner
Bryan Cave LLP

Scott Killingsworth is a business lawyer focused on organizational compliance and ethics and corporate law. A partner with Bryan Cave LLP, he helps boards and senior executives with corporate compliance program design, implementation and evaluation.

He is one of 12 private-practice attorneys named to Ethisphere’s list of “Attorneys Who Matter” in ethics and compliance in both 2013 and 2014 and was one of only 17 U.S. lawyers designated as BTI “Client Service All-Stars” in both 2007 and 2008. He serves on the Board of Governors of the Center for Ethics and Corporate Responsibility at Georgia State University and on the Editorial Board of the Journal of Business Compliance.

Mac Knox
Securities Litigation Consultant
Sutherland’s Litigation Practice Group

Mac Knox is a securities litigation consultant for Sutherland’s Litigation Practice Group. He previously worked as an examiner and supervisor for 12 years in the Atlanta District Office of the National Association of Securities Dealers (NASD), which later became part of FINRA.

Mac also served three years as Capital Markets Compliance Director for the Robinson-Humphrey Company and worked in various compliance roles with SunTrust Bank broker-dealers, including Deputy Director of Compliance for both SunTrust Capital Markets, Inc. and SunTrust Investment Services, Inc. Mac currently supports Sutherland’s Securities Enforcement group in defending broker-dealers and investment advisers in regulatory and civil matters and in providing advice on compliance and supervision issues.

In his roles as a regulator and compliance officer, Mac has extensive experience dealing with regulatory examinations and disciplinary actions of all types; implementing complex policies, procedures and automated solutions for supervising securities sales practices (including anti-money laundering, business continuity, electronic communications and surveillance systems); managing all areas of compliance (including advertising/sales literature review, branch audit, registration/licensing and surveillance); and overseeing regulatory and administrative matters for broker-dealer mergers and acquisitions.

Sandra Laughlin
Chief Risk Management Officer
MidCountry Financial Corp.

Sandra Laughlin has nearly two decades of experience in risk management and possesses well-rounded expertise in all areas of banking. A former bank examiner for the Federal Reserve Bank of Cleveland, Sandra has a track record of driving shareholder value by guiding risk-adjusted business decisions. More recently, Sandra was the Northeast Partner in Charge of Risk Management for Crowe Horwath, LLP, where her experience and achievements included regulatory remediation and negotiation, risk management implementation, and audit committee and board advisory roles. She also has experience in building dynamic teams, and has been a noted speaker on fraud, risk, and control issues for organizations such as the American Institute of Certified Public Accountants, the Institute of Internal Auditors, the Bank Administration Institute, New York Bankers Association, and the New York Federal Reserve.

Currently as the Chief Risk Officer of MidCountry Financial, Sandra oversees the design and implementation of the enterprise risk management strategy and framework and ensures that a coordinated and consistent approach to risk management activity is undertaken across the Company. Responsible for providing ongoing risk management support and guidance to the business; designing and producing management and board-level risk reporting; managing compliance, loan review and SOX functions; coordinating with Internal Audit and other parties as necessary to ensure that there is a comprehensive risk management program in place. This position is the primary liaison with regulators and other key stakeholders and is a member of the executive management team.

Community Involvement

  • Former Secretary of the Board of Directors, Eva's Village

Education

  • Masters of Science in Administration, Banking, University of Toledo
  • Bachelor of Business Administration, Finance, University of Toledo
  • Stonier Graduate School of Banking

Paul Monnin
Partner, Litigation Department
Paul Hastings

Paul Monnin is a partner in the Investigations and White Collar Defense practice of Paul Hastings LLP. He defends companies and individuals in a wide variety of criminal matters, administrative enforcement actions, and parallel civil proceedings. He also maintains an active commercial litigation practice.

Paul’s criminal defense and regulatory enforcement matters have focused on the federal fraud, securities, health care, racketeering, tax, bankruptcy, money laundering, obstruction and perjury statutes, along with the False Claims Act, the Foreign Corrupt Practices Act (and analogous international anti-corruption provisions), the Stored Communications Act, and the Computer Fraud and Abuse Act. He has led numerous public company board of directors and audit committee investigations and regularly conducts compliance reviews and audits for corporate clients. His commercial engagements have included successful TRO and preliminary injunction proceedings, dispositive motion practice and bench and jury verdicts related to class action defense and patent, trademark, securities, antitrust, franchise, M&A, real estate, and secured lending litigation.

Paul has been ranked from 2012 through 2014 by Chambers USA in the fields of White Collar Crime and General Commercial Litigation, based on “strong feedback” from clients and peers. Chambers sources have noted that he is “a great advisor and a strategic thinker” and that “[h]is drafting is thorough and well prepared, he argues well in court, he understands the local environment and he is good at anticipating outcomes.”

Prior to joining Paul Hastings, Paul led the White Collar and Corporate Crime practice in the Atlanta office of DLA Piper LLP (US), which the Fulton County Daily Report (an American Lawyer Media affiliate) recognized as White Collar Litigation Department of the Year for 2013. In support, the general counsel of one of Paul’s clients noted that, “His wealth of knowledge about how RICO works and how to shift gears and know what could lead to what was amazing.” Paul served from 2002-2008 as an assistant U.S. attorney in the Criminal Division of the U.S. Attorney’s Office for the Northern District of Georgia, where he was deputy chief of the Economic Crime section from 2006-2008.

A veteran courtroom advocate, Paul has personally tried 15 criminal and civil cases as lead counsel to juries and judges in both federal and state trial courts. He has also conducted hundreds of evidentiary hearings and has briefed and argued numerous criminal and civil appeals.

Christine Miller
Senior Manager Advisory Services
Ernst & Young LLP

Christine Miller is a senior manager in Ernst & Young’s Advisory Services practice, focusing on enterprise risk, internal audit, and internal controls in the Southeast region, based in Atlanta, GA.

Christine has over 14 years experience, including three years in cost accounting and financial accounting, and eleven years assisting clients with enterprise risk management, internal audit, internal controls, and technology implementations. Christine regularly speaks at accounting and auditing conferences and contributes to thought leadership.

Engagement experience

  • Christine has assisted with internal audit transformation projects at several clients, including the related governance structure, operating model, methodology definition, risk assessment, audit planning, and technology implementation.
  • Christine has managed several internal audit outsource relationships leading the internal audit department and currently manages an internal audit outsource relationship for a $1.2B chemical company and a co-source for a $8B metals company.
  • Christine has performed several QARs for internal audit departments and internal audit diagnostic engagements to help build road maps for change.
  • Christine has over ten years experience assisting and leading Sarbanes –Oxley 404 compliance projects, coordinating and leading internal audit outsource and co-source engagements, and designing and executing risk assessments.
  • Christine has led multiple assessments of compliance with the Foreign Corrupt Practices Act for a global industrial products manufacturer. She tailored the review approach and investigation process, while directing multiple global teams to execute the assessments.
  • Christine spent two years as the subject matter resource developing and deploying the service delivery technology throughout the Ernst & Young Global Advisory practice. She developed and consulted on the vision and roadmap of the technology, defined requirements for development, designed and facilitated learning events, and developed deployment plans.
  • Christine has coordinated and led several technology implementations, including assisting clients with configuring and deploying Thomson Reuters GRC for internal audit and other risk functions, accounting conversions to SAP, and SAP GRC.
  • Christine has assisted clients with designing and analyzing their financial processes. Each analysis included reducing cycle time, improving protocols and communications, verifying compliance with US GAAP, and enabling the process through technology.

Brad Nassau
Managing Director & Practice Lead for Compliance
Gartland & Mellina

Brad Nassau, Managing Director & Practice Lead for Compliance, Gartland & Mellina. Brad has over 15 years of experience in the Regulatory Compliance and Financial Services Industry covering compliance programs across multiple platforms and strategies. He was the Deputy Chief Compliance Officer at KKR Asset Management and spent six years at Goldman Sachs covering Prime Brokerage and the Securities Lending desk. He managed multiple projects across Prime Brokerage, Securities Lending, Agency Lending and Futures platforms, was a member of the Firm wide Surveillance Roundtable, and covered Prime Brokerage while living in Hong Kong.

Prior to joining Goldman, Brad was the Regulatory Reporting Officer for Morgan Stanley’s Institutional Equities Division and was responsible for aspects of the Control Room Restricted Trading List monitoring and surveillance. Before joining Morgan Stanley, Mr. Nassau was Vice President in Compliance and Operational Risk Management at JP Morgan Treasury and Securities Services where he was responsible for aspects of the Compliance program focused on custody issues and fiduciary risk. Brad currently holds FINRA Series 7 and 24 licenses, and is a Member of the New York Bar.

Jim Shook
Director, E-Discovery and Compliance Practice
EMC Corp

As a lawyer-technologist, Jim Shook is a recognized authority on the intersection of law and technology, focusing on information governance, eDiscovery/eDisclosure and compliance issues. Jim works with EMC’s customers to assist them in understanding and solving compliance related challenges related to electronically stored information.

Jim has been a member of and active contributor to The Sedona Conference, a well-known legal think tank, since 2004. He previously served as an editor on the Electronic Discovery Reference Model (EDRM) and publishes and speaks frequently at industry conferences. Jim is the author of “Developing Effective Email Management Policies” and the lead author of “The Lawyers / The Technologist’s Guideto E-Discovery (For Dummies).”

Recent work has focused both on core concerns such as archiving policies, and forward-thinking issues including BYOD (bring your own device), Cloud Computing, Social Media and machine classification. Prior to joining EMC, Jim spent over ten years practicing law as a commercial litigator in one of Phoenix's oldest law firms and as the general counsel to two technology companies. He earned a BS in Computer Science from Arizona State University and a JD from the University of Arizona.

Matt Toll
Head of Regional Marketing, Americas
Thomson Reuters

Matt Toll is the Head of Regional Marketing, Americas, for Thomson Reuters Financial & Risk. In this role, he is responsible for integrated marketing programs across a variety of channels supporting the Thomson Reuters Accelus and Thomson Reuters Eikon product suites.

Previously, Toll was the global Head of Marketing Communications for the Risk business within Thomson Reuters, responsible for demand generation and awareness initiatives globally for Thomson Reuters Accelus. He has served as both a speaker and moderator at events around the world on topics focused on technology, financial services and marketing.

Prior to joining Thomson Reuters, Toll spent 16 years with Dow Jones in a variety of roles spanning editorial, product management, sales and marketing. He was the Director of Marketing for Institutional Products in Dow Jones’s algorithmic trading products business, working with ground-breaking products for high-frequency traders, FX traders and others in the financial services industry.

Toll also served as the Director of Field Marketing, Americas, for the Dow Jones Enterprise Media Group’s Content Technology Solutions business, overseeing lead-generation campaigns across multiple segments. He also spent seven years with Factiva, a joint venture between Dow Jones and Reuters, developing its award-winning Enterprise Consulting group before spending three years as a sales executive working with some of Factiva’s largest customers in the telecommunications, energy and healthcare industries. He then spent three years in product management, developing new product offerings for Factiva’s innovative XML platform before moving to the marketing group.

Before joining Dow Jones, Toll spent seven years as a sportswriter for the Boston Herald and Philadelphia Inquirer, and as a freelance contributor to Sports Illustrated and other publications.

Stacy Wiedman
AVP, Operational Risk Management
AXIS Capital

Stacy Wiedman is an Operational Risk AVP at AXIS Capital, a global provider of specialty lines insurance and reinsurance. Current responsibilities include risk consulting to the Information Technology department, and support of the enterprise Governance, Risk, and Compliance tool, Paisley. In this role, she uses her IT and internal controls experience to help AXIS manage risks, and to provide transparency to the risk and control environment.

Stacy has over 20 years of experience as a professional focusing on Information Technology, Internal Audit, Sarbanes-Oxley, and Risk Management. She has tenure as a valued employee of Coca-Cola Enterprises, Inc., and ING (Voya) where she managed IT and Audit teams. Through her consulting and oversight, she oversaw many organizational, transformational, and technology changes leading to process improvements.

Martin Woods
Money Laundering Reporting Officer
Thomson Reuters

Martin Woods serves as the Money Laundering Reporting Officer for regulated transaction businesses within Thomson Reuters. He is an anti-money laundering subject matter expert. As a former detective in the National Crime Squad, Martin investigated and arrested money launderers, now within the financial services industry he applies his knowledge and learning to deter, detect and defeat the money launderers. He is an innovator in financial crime and anti-money laundering systems and controls. He has been highly commended by regulators and is often called upon by commentators to provide a valued insight into emerging financial crime threats and trends.

Most recently he has advised upon the drafting of the Global Policy and Standards for the Accelus Org ID Managed Service. He is an expert witness and has previously been engaged by a number of parties, including the United Nations to advise and support investigation and litigation strategies. He is presently researching the criminal use of offshore companies, nominee parties and accommodation addresses.

About Thomson Reuters Risk Management Solutions

Risk Management Solutions bring together trusted regulatory, customer and pricing data, intuitive software and expert insight and services – an unrivaled combination in the industry that empowers professionals and enterprises to confidently anticipate and act on risks – and make smarter decisions that accelerate business performance.

Please visit risk.thomsonreuters.com for more information.

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