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Compliance and Risk Forum 2016

Speakers

Chicago

Theodore L. Banks
Partner, Scharf Banks Marmor LLC
Theodore L. Banks (Ted) is a partner in the firm of Scharf Banks Marmor LLC in Chicago, where his practice concentrates on general corporate and antitrust matters. He is also President of Compliance & Competition Consultants, LLC, a firm devoted to assisting corporations in development of effective and efficient programs in the areas of corporate compliance, internal investigations, and records management. Formerly, he served as Chief Counsel & Senior Director, Global Compliance Policy, at Kraft Foods in Northfield, Illinois. During his career at Kraft, his responsibilities also included supervision of complex litigation, negotiation of major corporate transactions, global records management, antitrust, and supervision of computer applications used in the Corporate and Legal Affairs Department. He is an Adjunct Professor of Law at Loyola University (Chicago) School of Law, where he teaches corporate compliance.
Throughout his career, Ted directed many substantial corporate transactions and dozens of litigated cases, in antitrust and in other areas. He supervised the $19 billion acquisition of Nabisco by Kraft, and the $8.7 billion IPO of Kraft Foods Inc. He currently serves as a compliance monitor on behalf of the Federal Trade Commission and the Competition Bureau of Canada to ensure that respondent companies comply with agreements or orders issued by those agencies.
Ted has written numerous articles on antitrust, compliance, and legal automation topics. He co-edited the Corporate Legal Compliance Handbook, published by Aspen/Wolters-Kluwer, and his multi-volume treatise, Distribution Law: Antitrust Principles and Practice, also published by Aspen/Wolters-Kluwer, is now in its second edition. He is also the author of the chapter on Compliance in the Antitrust Adviser, published by Thomson Reuters. He has been recognized as a “Super Lawyer,” as one of the “Attorneys Who Matter,” and one of 50 “Governance, Risk & Compliance Trailblazers and Pioneers. He is a frequent speaker at professional education programs, where he strives not to bore the attendees too much.

Sean Beals
Director, Market Development, Risk – Thomson Reuters
Sean has over 20 years experience in Financial Services and started his career at a renowned hedge fund in Marin County, California, where he worked with portfolio and trading systems. Sean then moved to the sell-side of the market at Montgomery Securities and Robertson Stephens & Co. in San Francisco, eventually becoming Head of Data Services at Barclays Global Investors (subsequently acquired by BlackRock).
After relocating to New York in 2001, Sean became SVP and Head of Professional Services at Fidessa - one of the most widely used order and execution management systems in the industry. Sean has been with Thomson Reuters for nine years (including Complinet prior to its acquisition by Thomson Reuters in 2010). Sean has worked with regulatory intelligence since joining – a time that has included tremendous growth in the coverage and services offered by Thomson Reuters Regulatory Intelligence.
Sean is currently a Sales Director – Regulatory Intelligence Specialization and brings a wide array of experience in helping customers navigate the ever-changing regulatory landscape.
Sean attended Dominican University of California. He now resides with his wife and four dogs in Westchester County, New York.

Julie DiMauro
Regulatory Intelligence and Compliance Learning Specialist, Thomson Reuters
Julie DiMauro is a Regulatory Intelligence and Compliance Learning Specialist in the Financial & Risk division of Thomson Reuters in New York. She previously served as the executive editor of FCPA Blog, senior editor at Complinet (now a part of Thomson Reuters) and managing editor at the legal publisher, Vendome Group.

Gabe Duran
Chief Compliance Officer, Hovde Group, LLC
As Chief Compliance Officer, Mr. Duran is responsible for managing the regulatory affairs for the Hovde Group, LLC, a company providing investment banking, sales, trading and research services to the community banking industry. In this role Mr. Duran is directly involved in the compliance and operations of the firm, including institutional and retail account management, order handling, trading, execution and risk management, as well as vendor management. As a respected leader in the industry Mr. Duran delivers a clear vision, strong leadership and operating excellence. Prior to joining the Hovde Group, Mr. Duran was Managing Principal of Evergreen BDC, LLC. In this capacity Mr. Duran provided regulatory consulting services to a variety of constituencies such as trading software developers, proprietary futures, options and securities traders, market makers, specialists, correspondent and clearing firms. Previously, Mr. Duran was a Chief Compliance Officer at E*TRADE, a leader in online brokerage. Mr. Duran also worked in fixed income sales, served as CFO of an institutional fixed income trading firm and worked as a Field Supervisor at NASD (now FINRA). Mr. Duran has passed the CPA exam and earned a Bachelor of Business Administration from Texas Tech University and a Master of Jurisprudence from Loyola University Chicago School of Law. Mr. Duran holds numerous securities licenses, including Series 4, 7, 9/10, 24, 27, 52, 53, 55/57, 63, 79, 87 and 99.

Randall Mikkelsen
Managing Editor, Compliance and Regulatory Risk
Randall Mikkelsen is North American Managing Editor, Compliance and Regulatory Risk, at Thomson Reuters, 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.

Michael Rasmussen
The GRC Pundit, GRC 20/20 Research, LLC
Michael Rasmussen is an internationally recognized pundit on governance, risk management, and compliance (GRC) – with specific expertise on the topics of enterprise GRC, GRC technology, corporate compliance, and policy management. With 22+ years of experience, Michael helps organizations improve GRC processes, design and implement GRC architecture, and select technologies that are effective, efficient, and agile. He is a sought-after keynote speaker, author, and advisor and is noted as the “Father of GRC” — being the first to define and model the GRC market in February 2002 while at Forrester.
Michael has contributed to U.S. Congressional reports and committees, and currently serves on the Leadership Council of the OCEG and chairs the OCEG Technology Council, OCEG Policy Management Group, and the OCEG GRC Architect Group.
Michael is quoted extensively in the press and is respected for his commentary on broadcast news channels. He is an Honorary Life Member in The Institute of Risk Management for his contributions to risk management and GRC. In June 2007, Treasury & Risk recognized Michael as one of the 100 most influential people in finance with specific accolades noting his work in “Governance and Compliance: Saving the Planet and the Corporation” and as a “Rising Star in Rocky Times: Corporate America’s Outstanding Executives.” Prior to founding GRC 20/20 Research, Michael was a Vice-President and ’Top Analyst’ at Forrester Research, Inc. Before Forrester, he led the risk/compliance consulting practice at a professional services firm, and prior to that has specific experience managing compliance and risk within commercial organizations.
Michael’s educational experience consists of a Juris Doctorate in law and a Bachelor of Science in Business. Michael is currently pursuing a Master of Divinity at Trinity Evangelical Divinity School with a research focus in ethics and church history. He is a GRCP (GRC Professional), CCEP (Certified Compliance and Ethic Professional), and a CISSP (Certified Information Systems Security Professional). OCEG has recognized him as an OCEG Fellow for his contributions and advancement of GRC practices around the world.

Matthew Shepherd
Principal Consultant, ACA Consulting Group
Matthew Shepherd is a Principal Consultant in ACA’s Chicago office. He joined ACA in November 2014. Matthew conducts mock SEC examinations of investment advisers and policy and procedure reviews. He also drafts reports and manuals that promote compliance with SEC regulatory requirements and provides other investment adviser consulting services as necessary.
Prior to joining ACA, Matthew worked for Relational Investors, LLC, an activist investment adviser based in San Diego that Hedge Fund Alert ranked as a Top 200 Hedge Fund Manager. As Chief Compliance Officer, he primarily oversaw the firm’s compliance program but also performed general in-house counsel functions. Before Relational, Matthew worked as an attorney at law firms in the United Kingdom and the United States, including Jacko Law Group PC, where he also provided compliance consulting services.
Matthew earned his Postgraduate Diploma in Legal Practice from the College of Law of England and Wales and his Bachelor of Laws from the University of Liverpool.

Eric Sussman
Partner, Paul Hastings
Eric Sussman is a partner in the Investigations and White Collar Defense practice at Paul Hastings and is based in the firm’s Chicago office. As a former federal prosecutor, his practice focuses on white collar criminal defense, securities enforcement matters, internal investigations, and complex commercial litigation. In 2013, 2014 and 2015, Mr. Sussman was recognized for his representations by Chambers USA as a lead attorney in Illinois’ White Collar Crime & Government Investigations category, with clients citing him as “a remarkable individual,” who was "very intelligent and was thoughtful in his analysis."
Mr. Sussman is a highly accomplished trial lawyer who has defended numerous complex civil and white collar criminal matters for corporations and executives in courts throughout the United States. Mr. Sussman has also directed numerous internal investigations involving the Foreign Corrupt Practices Act (FCPA), insider trading issues, Dodd-Frank Whistleblower provisions and healthcare fraud allegations. He has represented individuals and corporations in proceedings with the DOJ, SEC, CFTC, FDA, USDA and other governmental agencies. He has also successfully defended corporations and individuals in proceedings involving the DOJ’s FCPA Unit and Antitrust Division – receiving multiple declinations of prosecution.
In over two decades of practice, Mr. Sussman has tried over 30 federal cases, briefed and argued multiple appeals before the US Court of Appeals, handled arbitration proceedings before the International Court of Arbitration, and directed hundreds of complex investigations.

Scott Swanson
Financial Crimes Unit, PwC
Scott Swanson, CFE (Certified Fraud Examiner), has 20+ years of experience in criminal and terrorist intelligence work for the U.S. government and special operations military community at classified levels, and has conducted investigations and crises management at the corporate level dealing with enterprise risk, security and cyber threats. Scott has a Masters of Science in Strategic Intelligence, a Bachelor of Art of Foreign Language, and Graduate Studies in Terrorism and Political Violence from the University of St. Andrews. He currently works for PwC's Financial Crimes Unit as a subject matter authority across cyber, anti-money laundering, and fraud. His specialty is front company discovery and global third-party risk mitigation.

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 Risk 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.

Boston

Kara J. Brown
Counsel, Sidley Austin LLP
KARA BROWN advises hedge funds and private equity funds, as well as advisers offering separately managed accounts and sub-advisers to registered funds, regarding SEC registration and the development, implementation and enhancement of compliance programs. Prior to joining Sidley, she held various legal and compliance positions with investment advisers, including serving as chief compliance officer. Kara has extensive experience pertaining to the Investment Advisers Act of 1940 and other regulations applicable to investment advisers. She also advises clients with respect to SEC examinations and regulatory filing obligations. She is admitted in New York and Massachusetts and has held the Series 7 license.

Julie DiMauro
Regulatory Intelligence and Compliance Learning Specialist, Thomson Reuters
Julie DiMauro is a Regulatory Intelligence and Compliance Learning Specialist in the Financial & Risk division of Thomson Reuters in New York. She previously served as the executive editor of FCPA Blog, senior editor at Complinet (now a part of Thomson Reuters) and managing editor at the legal publisher, Vendome Group.

Bill Fearnley Jr.
Compliance, Fraud & Risk Analytics - Research Director, IDC Financial Insights
Bill Fearnley, Jr is a research director for IDC Financial Insights responsible for Big Data and analytics with a focus on compliance, cybersecurity, fraud and risk management. Mr. Fearnley’s research focuses on technology trends and business strategy in Big Data and analytics applications for financial services. Bill has a unique combination of technology and financial services experience as a FinTech industry analyst, sell side equity analyst (enterprise IT) and positions in technology OEM channels sales and marketing management.
Before joining IDC, Mr. Fearnley was an industry analyst at Celent covering analytics, Big Data, cloud and mobile strategy and technology for capital markets and wealth management firms and technology providers. Before becoming an industry analyst, Bill spent more than 8 years as a sell side financial equity analyst covering PC and Enterprise Hardware for Janney Capital Markets and FTN Equity Capital. His analyst coverage and proprietary survey work included technologies such as mobile computing, servers and enterprise storage, virtualization and cloud computing.
Mr. Fearnley was recognized by the Wall Street Journal in May 2008 as a "WSJ Best on the Street" analyst in the Computers & Office Equipment category.
 

Reetu Khosla
Senior Director/Global Head: Client Lifecycle Management, Onboarding & KYC
PegaSystems
Reetu Khosla is currently the Head of Pega’s Risk, Compliance and Onboarding Practice, where she works with global financial institutions and top tier consulting partners, identifying market trends and driving market-leading technology solutions to drive customer success, including Pega’s industry leading Pega KYC, and Pega Onboarding and Client Lifecycle Management applications. She has 20+ years of regulatory compliance experience in the banking and financial markets sectors, specializing in financial crimes, anti-money laundering (AML) compliance, KYC, sanctions, and implementing new regulatory mandates (i.e. FATCA/CRS, Dodd-Frank, MiFID II, EMIR, FINRA rules), operations and management. Reetu has also implemented, developed and managed global regulatory programs. Her previous experience includes high-profile regulator response (i.e. SEC, FINRA –formerly NASD/NYSE, law enforcement, global regulators), developing new compliance programs and operations in response to new regulations and findings, compliance program optimization, and technology driven solutions. She places a significant emphasis on developing applications that drive business benefit, while ensuring compliance and mitigating risk.
Reetu has been extensively quoted in the media including the Wall Street Journal, Forbes, The Financial Times, Compliance Monitor, Financial I, American Banker, and Finextra. She has authored several articles on applying technology to manage complex regulatory mandates while driving efficiency, revenue and an improved customer experience.
Reetu has presented at key industry events (i.e. FBI/Private Sector keynote speaker, European Banking Expo in Brussels, Sibos in Vienna and Amsterdam, London KYC Executive Round-table, FATCA and KYC Webinars, Meeting New Regulatory Demands webinar with former regulators and Transforming Client Lifecycle Management while meeting Regulatory Demands Globally). Her previous positions include Director of Risk at Fidelity Investments where she helped implement AML regulatory requirements across lines of business, working with global regulators on regulatory response and exam response, Regulatory and Capital Markets Advisory Manager at Deloitte to global financial institutions on complex regulatory issues and findings, regulator response and future state optimization, lead the analysis for legislation on AML regulatory requirements across borders with the Department of Justice, and worked at KPMG in their Forensic and Intelligence Practice. Reetu graduated from the University of Toronto.

Eileen Krouse
Program Manager Ethics & Compliance, Staples, Inc.
Eileen Krouse has worked for Staples for 14 years and is currently a member of the Ethics & Compliance Office which sits within Staples’ Legal Department. In addition to her responsibilities in running the global Ethics & Compliance program, Eileen also manages the year-round Legal Intern program for Staples, bringing in 2 law school students each semester. Prior to this role, Eileen worked as a paralegal supporting Staples’ employment and labor attorneys.
Eileen has many years of experience in human resources, retail management, financial services and professional organizing, with companies such as Marshall’s, Bugle Boy Industries, Chadwick’s of Boston, TJ Maxx, Home Goods, Fidelity Investments and Simple Space Consulting LLC, a professional organizing business she owned and operated for 2 years.

Tracie Koskowski
SVP, Director of Compliance
Citizens Bank
As a Director of Compliance at Citizens Bank Tracie Kosakowski is responsible for ensuring that the Business Compliance Program appropriately addresses the regulatory risks relative to the business unit’s activities. While exceeding in the execution of compliance and training for general compliance and regulations, Tracie also excels at managing multi discipline and diverse colleague engagement experience. As a Compliance leader, she actively engages with all levels and divisions of Citizens, supplying advice, monitoring, training, and oversight of the Compliance Program. She endeavors to foster an open and honest risk management and compliance culture and ensure timely reporting and escalation of regulatory risk issues. This includes the timely identification, mitigation, resolution and reporting of existing, emerging, and upstream regulatory risk and issues. She drives a culture of accountability and compliance and works with various business units to ensure compliance with applicable banking laws, rules, regulations, and supervisory guidance. While serving as an independent advisor, she participates in business management, risk, and strategy meetings and provides regulatory risk advice, updates on regulatory developments and reports on the “State of Compliance” to respective business units.
Tracie partners with the business units to develop and review policies, procedures, standards, and marketing materials that meet existing and newly developed regulatory requirements and oversees compliance advice and sign-off. This guidance is inclusive of review and counsel with regards to new business initiatives, new products and services, and process changes. In development of a comprehensive compliance strategy she collaborates across Citizens Compliance, to synthesize and communicate a comprehensive view of regulatory risk to executive management and implements robust compliance monitoring/surveillance programs. This is inclusive of training on various regulations, be it ad hoc, strategic, or instructor led learning.

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.

Steve McDonald
Head Of Market Development, Risk, Americas, Thomson Reuters
As the head of market development in the Americas for Thomson Reuters’ Risk Solutions, Steve McDonald is responsible for making sure that Thomson Reuters’ solutions, strategy, and commercial actives match the evolving needs of customers across a variety of industries. His experience comes from helping customers with risk and GRC solutions since 2003. He has worked with financial and corporate clients in North America, Europe, and throughout Asia, and in the process has gleaned practical approaches for successful GRC initiatives, KYC/KYS, screening, monitoring, regulatory intelligence content, and the automation of regulatory compliance management.

Randall Mikkelsen
Managing Editor, Compliance and Regulatory Risk
Randall Mikkelsen is North American Managing Editor, Compliance and Regulatory Risk, at Thomson Reuters, 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.

Daniel Nathan
Partner, Morvillo LLP
Daniel Nathan, a partner at Morvillo LLP, uses his deep enforcement and regulatory experience to represent U.S. and international financial institutions and individuals before financial regulators. With a combined 25 years as a senior enforcement official with the SEC, CFTC and FINRA, three of the country's leading regulatory and enforcement authorities, he is a particularly effective advocate for those facing investigations and/or enforcement action by those regulators. Before joining Morvillo, Dan had a similar practice at Morrison & Foerster.
Mr. Nathan’s intimate knowledge of broker-dealer regulation provides clients facing FINRA examinations and enforcement investigations with detailed guidance and counsel related to broker-dealer supervisory procedures, sales practices, anti-money laundering, product disclosure and supervision, and securities and broker registration. His extensive experience includes the JOBS Act and Dodd-Frank Act, and he has led extensive efforts to help foreign banks establish programs for complying with the Volcker Rule.
Previously, Mr. Nathan served as the Vice President and Regional Enforcement Director of the Financial Industry Regulatory Authority (FINRA), where he closely collaborated with FINRA’s Member Regulation examination staff. During his five-year tenure, he oversaw 70 lawyers across 15 offices responsible for bringing up to 900 disciplinary actions annually against broker-dealer firms, registered representatives and associated persons. This included many of FINRA’s most significant nationwide enforcement actions, including, actions and sweeps involving mutual fund breakpoints; structured products sales practices and supervision; auction rate securities advertising; disclosure and supervision; private placement due diligence and disclosure; mutual fund prospectus delivery; anti-money laundering procedures; and market timing.
In his 12 years at the SEC, Mr. Nathan served as Assistant Director in the Division of Enforcement, where he supervised federal securities investigations of insider trading (including the investigation that resulted in the seminal case US v. O’Hagan), market manipulation, financial fraud and accounting misconduct. In nine years with the CFTC, he served as Deputy Director of Enforcement, with responsibility for oversight of the agency’s Enforcement Division. He also created the CFTC’s Office of Cooperative Enforcement, which dramatically expanded the joint enforcement efforts between the CFTC, the Department of Justice, the SEC and state authorities. In those roles, he supervised significant actions regarding market manipulation, trade practices, commodity trading advisor practices and foreign exchange dealer practices.
An oft-quoted authority on complex financial, legal and business issues, Mr. Nathan is frequently sought after to speak and write on the important issues confronting financial institutions, including broker-dealer sales practices; compliance and supervision; complex products; the Volcker Rule; cybersecurity; and anti-money laundering. He is a member of the Editorial Advisory Board of the Journal of Investment Compliance. Mr. Nathan is admitted to practice in New York and Washington, D.C.

San Francisco

Kevin Bogdanov
Market Development Manager, Risk – Thomson Reuters
Kevin Bogdanov has worked for Thomson Reuters for 6 years in a range of sales, marketing, strategy and operations roles, spanning the former Direct organization, Specialist Sales, Marketing Operations and now Market Development. Prior to this, Kevin spent 5 years in various B2B sales roles, where he sold B2B technology solutions and B2B marketing services to leading blue-chip companies. Most notably, during Kevin’s tenure, Australian start-up ‘Strike Force Sales’ twice made the Australian Business Review’s top 200 fastest growing companies, in both 2008 and 2009. Kevin’s experience selling in difficult market conditions, and his background in shaping both sales and marketing programs and campaigns, means he will be a strong advocate for our front line GTM organization.

Maria Casillas
President of TimesofMoney Inc.
Chief Compliance Officer
Maria G. Casillas has over 20 years of experience in the financial services arena with a core focus on global remittance services. As the company’s President and Chief Compliance Officer reporting to the CEO of Times of Money. Ms.Casillas will be responsible for the company’s US Business operations including Finance, Business Development and Global Corporate Governance Program, Risk and Fraud Programs, Regulatory Programs, Anti-money Laundering and Counter Financing Terrorism Programs, Audit and Foreign Corrupt Practices / Anti-Bribery Programs.
Prior to joining Times of Money (TOM) Ms. Casillas worked for Sigue Corporation as their Senior Executive Vice President, Chief Governance Officer and Global Compliance Officer. In her role she was responsible for the company’s Global Governance Program, Risk and Fraud Programs, Regulatory Programs, Anti-Money Laundering and Counter Financing Terrorism Programs, Internal Audit Program, Corporate Training Program, Foreign Corrupt Practices / Anti- Bribery Program, Human Resource Department, Corporate Retail Stores. In her tenure with Sigue Corporation she was also responsible for the Business Continuity Program and Information Security Programs. She successfully managed over 120 global license obligations and complex compliance requirements in all jurisdictions Sigue operated.
Previously Ms. Casillas worked for Western Union where she held various senior management roles most notably the Corporate Compliance Officer for Orlandi Valuta, a subsidiary of Western Union. She managed the company’s Anti-money Laundering and Counter Financing Terrorism Program, Government Sanction Programs, and Risk Program. Western Union was on the fore front of leading the remittance industry through new regulatory obligations as a result of the USA PATRIOT Act 2001.
TimesofMoney is the global ePayments arm of Network International, Dubai. Network International acquired majority stake in the Mumbai, India headquartered company in 2012.
TimesofMoney started as a fledgling ePayments& remittance start-up in 2001 and has now grown into a formidable player globally in both its consumer & institutional forays. TimesofMoney caters to a cross-section of retail expatriate consumers all over the world, some of the top financial institutions &Telcos in the Asia-Africa region and also leading banks &eCommerce merchants in South-East Asia – all leveraging the power of the digital medium.
TimesofMoney’s strengths significantly compliment Network International’s businesses. With a slew of new products launched to cater to institutional customers, TimesofMoney’s product suite now includes white-labeled online remittances, mobile wallets, payment gateway aggregation, utility-payments etc.

James R. Diercksen
Senior Principal Consultant, ACA Compliance Group
Jim Diercksen joined ACA Compliance Group in August 2013 and currently serves as a Senior Principal Consultant in the Investment Adviser Service Division. Jim’s primary responsibilities include conducting mock examinations and providing compliance consulting services to registered investment advisers.
Prior to ACA, Jim was at the New York Regional Office of the U.S. Securities and Exchange Commission. In particular, he served as Securities Compliance Examiner and later as Staff Accountant in the Office of Compliance Inspections and Examinations (“OCIE”). While at the SEC, he led or participated in numerous examinations of registered investment advisers, investment companies, hedge funds, and private equity funds. His examinations resulted in numerous deficiency letter filings, referrals to the Division of Enforcement, and investor asset recoveries. In February 2013, OCIE awarded Jim its Director’s Award for Excellence.
Previous to the SEC, Jim provided trade and compliance support to Deutsche Bank AG’s Integrated Credit Trading Department.
Jim earned his B.S. in Business and B.A. in Government and Politics from the University of Maryland, College Park and his MBA from Iona College.

Eric Hensley
Chief Technology Officer & Chief Security Officer, Aravo Solutions
Mr. Hensley has over 15 years’ experience in the development and delivery of Enterprise SaaS offerings with a special focus on third party risk and compliance, supply chain management and intelligence solutions. At Aravo, he is responsible for the technical delivery of all of the company’s product offerings, and his remit extends across Engineering, QA and Hosting Operations.
Before joining Aravo, Mr. Hensley served as Sr. Director of Technical Operations at Instill Corporation, where he developed infrastructure and integration solutions for supply chain intelligence systems in the foodservice industry. Mr. Hensley joined Instill in 2002 and was instrumental in the development and deployment of highly scalable SaaS solutions responsible for processing the majority of daily foodservice transactions in North America. Prior to that, Mr. Hensley served as Director of Technical Operations at ShipServ Ltd., where he was responsible for the development and deployment of one of the earliest SaaS transactional business exchanges, focused on the maritime shipping industry. While at ShipServ, Mr. Hensley led the development and adoption of MTML, an XML-based transactional document standard now widely deployed in the shipping industry.
Mr. Hensley holds a BA in Astrophysics with a specialization in Computer Science from the University of California, Berkeley.

Manoj K. Pombra "Tito"
MChief Compliance and Anti-Money Laundering Officer
Matthews Asia Funds Matthews International Capital Management, LLC
Mr. Pombra currently serves as the Chief Compliance and Anti-Money Laundering Officer for Matthews International Capital Management, LLC (“Matthews Asia”) and Matthews International Funds (d/b/a Matthews Asia Funds). In his current role, he is responsible for managing the compliance programs of the Investment Company, Investment Adviser, off-shore funds (Luxembourg based UCITS Funds), and Matthews Global Investors, Hong Kong registered broker-dealer. In addition, he oversees the Matthews Asia Funds service provider’s compliance program under Rule 38a-1.
Prior to joining Matthews in March 2005, Mr. Pombra was at Franklin Templeton Investments (“FTI”) as Senior Manager/Manager of Mutual Fund Compliance (April 2001-March 2005), an internet company as a Senior Financial Reporting Manager (June 2000- March 2001) and FTI for over 10 years, during which time he worked as a Manager, Supervisor and other various positions in the Fund Accounting and Legal Compliance departments. Mr. Pombra began his career in the mutual fund industry with Dreyfus Funds, as a fund accountant.
Mr. Pombra graduated from Queens College, NY (1987) with bachelors in accounting and economics. Mr. Pombra’s major emphasis in the securities industry has been in the compliance and accounting areas. He is a member of the Board of Directors of the National Society of Compliance Professionals (NSCP), member of Investment Company Institute’s (ICI) CCO and Compliance Advisory Committee and co-chair of the San Francisco Bay Area CCO Committee. In 2008, Mr. Pombra was named as a Top 20 Rising Star for “Who’s Who” in Upcoming Compliance Professionals by Compliance Reporter magazine. Mr. Pombra frequently speaks at industry conferences (e.g. NSCP, ICI, IAA, IA Watch, PEI, etc.) on a wide variety of compliance related subjects.

Daniel Maloney
Senior Manager – Third Party Risk Management, Accenture
Daniel Maloney is a Senior Manager in the Finance & Risk practice specializing in Third-Party Risk Management (TPRM) and is based in Charlotte, North Carolina. Daniel has over a decade’s experience focusing on TPRM gap assessments of clients’ TPRM programs, establishment of these programs, and designing risk assessment criteria and scoring for client to better understand and mitigate the risk of their third-parties. Daniel has had clients in numerous industries, particularly Financial Services, Insurance and Media. He received his BS in Accounting from Fordham University and his MBA from the University of Notre Dame.

Steve McDonald
Head Of Market Development, Risk, Americas, Thomson Reuters
As the head of market development in the Americas for Thomson Reuters’ Risk Solutions, Steve McDonald is responsible for making sure that Thomson Reuters’ solutions, strategy, and commercial actives match the evolving needs of customers across a variety of industries. His experience comes from helping customers with risk and GRC solutions since 2003. He has worked with financial and corporate clients in North America, Europe, and throughout Asia, and in the process has gleaned practical approaches for successful GRC initiatives, KYC/KYS, screening, monitoring, regulatory intelligence content, and the automation of regulatory compliance management.

Randall Mikkelsen
Managing Editor, Compliance and Regulatory Risk
Randall Mikkelsen is North American Managing Editor, Compliance and Regulatory Risk, at Thomson Reuters, 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.

Petra Tang
Partner, Berry Appleman & Leiden LLP
Petra is a Partner in the San Francisco office of Berry Appleman & Leiden LLP, and her immigration practice focuses on business visa issues. Petra advises and represents clients in a variety of industries, with a focus on high tech and finance. With her extensive experience as well as dedication to her clients, Petra serves large multinational corporations on immigration issues arising from corporate reorganizations, mergers, and layoffs, managing PERM recruitment programs and filing petitions in the outstanding researcher and multinational manager/executive categories. Petra speaks German and conversational Cantonese.

Matt Tuchow
Matt has pursued a 25 year career in global compliance, ethics, international law, corporate social responsibility and international relations. Most recently Matt served as senior vice president, global compliance and ethics and assistant general counsel at McKesson Corporation. In that capacity he led a team of more than 100 people dedicated to compliance, ethics, data privacy and records and information management. Prior to joining McKesson in 2006, Matt served as senior advisor for global affairs for U.S. Representative Sander Levin where he worked on rule of law and human rights issues in China. From 1994-2001, Matt served as senior attorney for international law for Gap, Inc where he helped the company expand into the Asian and European markets and focused on international trade and corporate social responsibility issues. Prior to working in-house, he served as an associate attorney at Pillsbury, Madison & Sutro, and as a foreign associate at the law firm of Yanagida & Nomura in Tokyo, Japan.
Matt also has considerable experience teaching. He was the recipient of a Yale-China teaching fellowship at the Chinese University of Hong Kong and more recently has taught as a visiting lecturer or has given guest lectures at the University Of Geneva Business School, the Haas School of Business at Berkeley, the Hastings College of Law and the University of Michigan Business School.
Matt received his B.A. degree from Yale University and his J.D. from Harvard Law School.

Roberta Vassallo
Attorney Advisor, United States Securities and Exchange Commission
Roberta Vassallo is an Attorney Advisor in the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission’s San Francisco Regional Office. Before joining the Commission, Roberta spent nearly seven years as a Principal Counsel in the Division of Enforcement in the FINRA Washington, D.C.’s office. Prior to her work as a regulator, Roberta was a business litigation associate in New York. She received her B.A. in English and German from the University of Genoa, Italy. She also holds a Ph.D. in German and Comparative Literatures from Washington University in St. Louis. Roberta earned her J.D. from California Western School of Law in 2006.

Andrew Yuille
Head of Partner and Platform Ecosystem Risk, Thomson Reuters
Andrew Yuille has more than 25 years experience of business development in high growth organizations across technology, information services and financial services and serves as the Head of Partners and Platform Ecosystem: Risk at Thomson Reuters. In this role he leads the development through partnerships of new business models and new propositions to drive commercial growth for the Risk business. Andrew’s previous roles include Head of Proposition Marketing - Specialist Markets & Communities; Head of Proposition Marketing – GRC for Thomson Reuters; Chief Marketing Officer for global risk intelligence provider World-Check; and business development roles for ERP software vendor Tetra plc and supply-chain software vendor Strategix. He is a regular speaker at conferences and seminars across Americas, EMEA and Asia Pac on topics relating to governance, risk and compliance, the prevention financial crime, supply chain management and B2B marketing strategy.
In 2001 he was elected as a Fellow of The Chartered Institute of Marketing. Andrew is also a Trustee, Director 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.

Atlanta

Hourad Afsar
Founder & Managing Director, Umbrella Global Risk Consulting LLC
Hourad Afsar is the Founder & Managing Director of Umbrella Global Risk Consulting, a boutique consulting firm based in Princeton NJ which advises clients on topics related to Anti-Money Laundering (AML), Know-Your-Customer (KYC), Anti-Bribery and Corruption (ABC), Governance, Risk & Compliance (GRC), Regulatory Compliance, Enhanced Due Diligence and Financial Crime.

In addition, Hourad has extensive years of international experience and provides ongoing consulting for Financial Institutions, Law firms and corporations in various industries.

Previously, Hourad worked at Thomson Reuters Risk Division as a Specialist of Governance, Risk and Compliance/ EDD solutions based in Europe for the EMEA region where he acted for clients in multiple geographies. He also managed Senior Compliance/AML roles in global financial institutions such as HSBC, ING, Credit Suisse and Banque Safdie where he was the Head of Compliance in Switzerland.

While at Credit Suisse (HQ) in Zurich, Hourad as a Vice President Bank AML served on the Wolfsberg Group, a professional association of eleven leading global banks which aims to develop financial services industry standards and related products for global Know your Customer (KYC) and Anti-Money Laundering (AML) policies.

Hourad holds a Postgraduate Diploma in Finance from the University of California, Berkeley and a B.A in Business Administration from Webster University in Geneva and is fluent in French, English, German and Persian.

He also is Certified Anti-Money Laundering Specialist (CAMS) since 2006 and a Member of the ACAMS New York Chapter.

Sean Beals
Director, Market Development, Risk – Thomson Reuters
Sean has over 20 years experience in Financial Services and started his career at a renowned hedge fund in Marin County, California, where he worked with portfolio and trading systems. Sean then moved to the sell-side of the market at Montgomery Securities and Robertson Stephens & Co. in San Francisco, eventually becoming Head of Data Services at Barclays Global Investors (subsequently acquired by BlackRock).
After relocating to New York in 2001, Sean became SVP and Head of Professional Services at Fidessa - one of the most widely used order and execution management systems in the industry. Sean has been with Thomson Reuters for nine years (including Complinet prior to its acquisition by Thomson Reuters in 2010). Sean has worked with regulatory intelligence since joining – a time that has included tremendous growth in the coverage and services offered by Thomson Reuters Regulatory Intelligence.
Sean is currently a Sales Director – Regulatory Intelligence Specialization and brings a wide array of experience in helping customers navigate the ever-changing regulatory landscape.
Sean attended Dominican University of California. He now resides with his wife and four dogs in Westchester County, New York.

Steve McDonald
Head Of Market Development, Risk, Americas, Thomson Reuters
As the head of market development in the Americas for Thomson Reuters’ Risk Solutions, Steve McDonald is responsible for making sure that Thomson Reuters’ solutions, strategy, and commercial actives match the evolving needs of customers across a variety of industries. His experience comes from helping customers with risk and GRC solutions since 2003. He has worked with financial and corporate clients in North America, Europe, and throughout Asia, and in the process has gleaned practical approaches for successful GRC initiatives, KYC/KYS, screening, monitoring, regulatory intelligence content, and the automation of regulatory compliance management.

Thomas P. (Tom) Bishop
Senior Vice President, Chief Compliance Officer & Deputy General Counsel, Southern Company Services, Southern Company
Tom Bishop serves as senior vice president, chief compliance officer and deputy general counsel for Southern Company Services. He is responsible for providing regulatory and legal leadership and direction in coordination with compliance officers and directors across the Southern Company system.
Prior to being named to his current role in 2016, Bishop was senior vice president, chief compliance officer, corporate secretary and general counsel for subsidiary Georgia Power, where he provided legal counsel to the utility’s management team and oversaw corporate security, ethics and compliance, legal services, risk management and the corporate secretary’s office.
Before being elected to the Georgia Power board of directors in 2008, Bishop served as vice president and associate general counsel for Southern Company Services. In this role he managed legal matters for Southern Company, SouthernLINC Wireless and Southern Telecom, as well as multi-subsidiary legal issues with systemwide implications. Prior to joining Southern Company in 1993 as a staff attorney, Bishop practiced law in Atlanta, Cartersville and Macon, Georgia.
Bishop chairs the Law & Judiciary Committee and serves on the board of governors of the Georgia Chamber of Commerce. He also serves on the executive committee of the Corporate Counsel Section of the State Bar of Georgia and the board of trustees of Mercer University. He is a member of the State Bar of Georgia and the Association of Corporate Counsel, where he served as chairman of the energy committee.
He is a founding director of the Boys & Girls Club of Bartow County and has served as chairman of the board for the YMCA of Georgia. He has also served on Georgia Gov. Nathan Deal’s Judicial Nominating Commission and as chairman of the board for the Pro Bono Partnership of Atlanta, an organization founded by Atlanta law departments to provide pro bono lawyers to non-profit organizations serving the community.
Bishop earned his bachelor’s degree in political science from Mercer University and his juris doctor degree from Mercer’s Walter F. George School of Law.

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 Risk 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.

Sharon Zealey
Founder , NextGen Compliance LLC
Sharon Zealey is the founder and managing principal of NextGen Compliance LLC in Atlanta, Georgia. NextGen provides consultation services for businesses and universities on a wide range of complex compliance matters including the Foreign Corrupt Practices Act. Previously Sharon was the Chief Ethics and Compliance Officer for The Coca-Cola Company for seven years. During her tenure, the Company was recognized nationally for its user-friendly hotline, effectiveness of the global network of Local Ethics Officers, and received the Corporate Integrity Award from Transparency International USA.
Prior to joining Coca-Cola, she was a partner in the commercial litigation practice group of an international law firm, Blank Rome LLP.
Sharon served as the United States Attorney for the Southern District of Ohio. She was an Assistant U.S. Attorney in the Criminal Division for prior to her appointment. She also served as Deputy Ohio Attorney General.

Houston

Nichole Ake
SVP, Sr. BSA/AML Group Manager, BBVA Compass
Ms. Ake has over 25 years of financial services experience. Her background is focused on management, compliance, operations and trading. She has served as speaker, panelist and moderator at venues on operational risk management, industry and regulatory focused initiatives. She currently works for BBVA Compass in Houston as SVP of BSA/AML.
During her career, she has worked for start-ups, fund-of funds, clearing firms, broker/dealers and investment advisers. Previously she was COO/CCO for Condera, both the broker dealer and investment advisor. She was Chief Compliance Officer and Managing Director of U.S. Capital Advisors LLC. Prior to USCA, she was Senior Vice President for SGC in Houston. Ms. Ake worked for Penson Financial Services Inc, a publicly traded clearing firm (n/k/a, Apex Clearing) located in Dallas, Texas for nine years. She was Vice President, CCO/AMLCO. Prior to Penson, she worked for a regional broker/dealer, Huberman Financial doing trading & operations. Originally from Massachusetts, she worked for LPL Financial as a trader for three years and Lehman Brothers in the Institutional Equity group for three years.
Nichole has an MBA from Southern Methodist University and a B.S. in Finance from Boston College. She completed the SIFMA/SII Wharton Executive Education Program in addition to other certificate programs. She is CAMS designated. She holds 7, 63, 24, 55 & 99 licenses and serves as a FINRA Industry Arbitrator.
She is currently Chair of the Texas Wall Street Women (TXWSW) Houston Education Committee and is a volunteer for the Houston Super Bowl. She has served as Co-Chair and Vice-Chair of the national Security Traders Association (STA) Compliance committee, Past President (2010) of the Dallas Securities Traders Association (DSTA). She served on the Board of Consultants for Cancer Support Community, fka Gilda’s Club of North Texas. Prior to moving to Houston, she was a member of the Junior League of Dallas.

Sean Beals
Director, Market Development, Risk – Thomson Reuters
Sean has over 20 years experience in Financial Services and started his career at a renowned hedge fund in Marin County, California, where he worked with portfolio and trading systems. Sean then moved to the sell-side of the market at Montgomery Securities and Robertson Stephens & Co. in San Francisco, eventually becoming Head of Data Services at Barclays Global Investors (subsequently acquired by BlackRock).
After relocating to New York in 2001, Sean became SVP and Head of Professional Services at Fidessa - one of the most widely used order and execution management systems in the industry. Sean has been with Thomson Reuters for nine years (including Complinet prior to its acquisition by Thomson Reuters in 2010). Sean has worked with regulatory intelligence since joining – a time that has included tremendous growth in the coverage and services offered by Thomson Reuters Regulatory Intelligence.
Sean is currently a Sales Director – Regulatory Intelligence Specialization and brings a wide array of experience in helping customers navigate the ever-changing regulatory landscape.
Sean attended Dominican University of California. He now resides with his wife and four dogs in Westchester County, New York.

Marcel de Chermont
Chief Compliance Officer, Acteon Group, Ltd.
Marcel has been Chief Compliance Officer for Acteon Group, Ltd., a private-equity backed oil and gas services company for over 6 years. He developed and implemented the anti-corruption program at Acteon and is currently responsible for its oversight and direction. He is responsible for the proper oversight of compliance matters across the globe.
Prior to his current company, Marcel was Brazilian branch manager and Corporate Counsel for a publicly-traded tubulars company. In this role he was responsible for the commrcial success of the branch.

Eric Morehead
Principal Consultant, Morehead Compliance Consulting, LLC
Advise and consult with diverse clientele to build and enhance their compliance and ethics programs. Perform intensive benchmarking and assessment projects to assist organizations in identifying program weaknesses and provide recommendations to enhance program performance. Examines the health of the clients' corporate culture and evaluates specific compliance risks, such as anti-corruption, conflicts of interest, money laundering, and third-party risk management. Works with organizations to produce solutions that meet the U.S. Sentencing Guidelines standards for an effective program and industry best practices, including program design and creation as well as code of conduct and policy development. Present assessment results and live training to board members, executives and management teams.

Brad Nelson
Senior Vice President Audit and Compliance, Live Nation Entertainment
Brad is the Senior Vice President of Internal Auditing and the Chief Compliance Officer at Live Nation Entertainment Inc., the world’s leading live entertainment company. Brad has the responsibility for global oversight of the Compliance and Ethics program and the Internal Audit function. Brad has over 20 years of Internal Audit and Compliance experience and previously held management positions in Internal Audit and Compliance at Dell, BMC Software, and Well Fargo. Brad holds degrees in Economics and Business Administration, as well as a Masters in Business Administration. Brad is a Certified Internal Auditor and Certified Fraud Examiner and is a member of the Institute of Internal Auditors, Associate of Fraud Examiners and Society of Corporate Compliance and Ethics.

Holly Sais Phillippi
Head of Proposition Management for Customer and Third Party Risk - Thomson Reuters – Americas
Holly has over 18 plus years’ experience in data/regulatory compliance and risk management. Holly is focused on building strong Customer and Third Party Risk communities within the corporate environment, regulatory and financial communities to ensure Thomson Reuters is putting the clients focuses first in product build and design. She is also responsible for strategic project planning, building an education strategy around Customer and Third Party risk and assisting clients with large-scale Rollout & Adoption projects around Customer and Third Party Risk solutions. Prior to joining the Customer and Third Party Risk Proposition team, Holly was the Vice President of Operations for Veri-Site Global, there she was responsible for day-to-day oversight of Veri-Sites research operations globally, systems, operational finances, sales activity and partnerships. Prior to Veri-Site, Holly was the Global Director of Account Management and Client Services for World-Check a Thomson Reuters business. During her time at World-Check / Thomson Reuters Holly not only managed the global Account Management Teams and all of the Client Services teams globally she personally managed several top banks around the globe and engaged directly with their Anti-Money Laundering (AML) compliance teams and the heads of AML compliance. Holly’s focus has always been to ensure clients have the data and systems necessary to meet their regulatory guidelines as well as corporate responsibility expectations. Holly is also service as the Co-Chairman of the ACAMS Central Texas Chapter Board.

Vanessa P. Rossi
Legal Compliance Counsel, Baker Hughes
Vanessa started at Baker Hughes as the FCPA Due Diligence Compliance Counsel in January 2015. Reporting directly to the Chief Compliance Officer, she is responsible for the implementation, administration, and continuous improvement of the non-U.S. third party FCPA Due Diligence compliance program. In that role, she also collaborates frequently with the attorneys at Baker Hughes that manage FCPA investigations and audits, trade compliance, immigration and, most recently, supply chain. Prior to Baker Hughes, she was an attorney for Sysco for 11 years with the last three years of her time at Sysco leading the corporate compliance program which included FCPA, policy management, environmental compliance and other compliance areas.

David Searle
Chief Compliance Officer and Associate General Counsel, Bristow Group Inc.
David Searle is the Chief Compliance Officer and Associate General Counsel of Bristow Group Inc., the world’s largest provider of offshore energy aviation services. He is responsible for overseeing Bristow Group’s compliance with laws in the jurisdictions in which it operates, including laws related to export controls, anti-corruption, and fair competition. Before coming to Bristow, Mr. Searle worked as in-house compliance counsel for two energy companies. He previously served as an Assistant United States Attorney in the U.S. Attorney’s Office in Houston, where he prosecuted corporate fraud and international money laundering cases. He was a member of the Organized Crime Strike Force and received multiple awards from the U.S. Department of Homeland Security for convictions obtained against human traffickers. He began his career as a commercial litigation and appellate lawyer with Baker Botts LLP after serving as a law clerk to the Honorable Jerry E. Smith of the U.S. Court of Appeals for the Fifth Circuit. Mr. Searle received his law degree from Duke University School of Law and holds an undergraduate degree in Economics from Stanford University.

Event Schedule

Boston:
Tuesday, September 13
 
San Francisco:
Wednesday, October 19

Chicago:
Monday, October 24
 
Atlanta:
Wednesday, October 26
 
Houston:

Thursday, November 17
Cost
Complimentary