Background
I am an ethics and compliance professional with extensive experience building and managing key program elements designed to enhance ethical culture and mitigate legal, reputational and financial risks. I have the knowledge and skills needed to help you solve some of the most complex issues your organization may be facing.
Professional and Industry Experience
-
Responsible for the development of a multi-year E&C learning and communications strategy designed to enhance the firm’s ethical culture and ensure compliance with policies, professional standards, laws and regulations.
-
Developed the firm’s first US and Global Codes of Conduct and was responsible for ongoing management of periodic updates for the US Code.
-
Administered the annual Code of Conduct Confirmation and served as a resource to partners and employees who raised questions about policies covered by the Code.
-
Set up the E&C hotline, conducted investigations and rolled out an enterprise-wide case management system.
-
Designed and led the rollout of an ethics & compliance reporting system, a key tool for end users and management to track individuals’ compliance with firm requirements.
-
Established a process to monitor personnel involved in internal investigations for potential acts of retaliation.
-
Prior responsibilities included developing and managing the compliance monitoring for auditor independence, CPA licensing, CPE compliance and other related initiatives.
Education
New York Law School
JD - Admitted to the bar in NY and NJ
I attended the evening division of NYLS while working in government affairs and compliance at Morgan Stanley. I then joined JP Morgan Chase (Chase Manhattan Bank) to work in compliance before joining KPMG LLP.
Skidmore College
Bachelor of Arts
Government/Business
While attending Skidmore College, I studied government and business. I also had opportunities to intern in the United States Senate and work in the finance division of General Electric in Schenectady NY.
Professional Certifications
Ethics & Compliance Initiative:
Served as a member of the ECI board 2011 - 2018; ECI Leading Practicioners in Ethics and Compliance certified; completed the ECI Managing Ethics in Organizations program.
​
The Conference Board:
Former chair of the Council for Compliance & Ethics
Fearless Organization:
Certified to perform Psychological Safety scans of teams.
KPMG LLP:
Giving Voice to Values Master Facilitator