Keynote
Breon Peace, US Attorney for the Eastern District of New York
Breon Peace, appointed by President Joseph Biden, is the 48th United States Attorney for the Eastern District of New York. As U.S. Attorney, Mr. Peace leads an office that is responsible for all federal criminal and civil cases in a district comprised of more than 8 million people in the boroughs of Brooklyn, Queens, and Staten Island, and in Nassau and Suffolk counties on Long Island. Prior to his appointment, Mr. Peace was a partner in the New York office of Cleary Gottlieb Steen & Hamilton LLP and was a member of the firm’s White-Collar Defense & Investigations and Litigation Groups. From 1997 to 1998, he served as law clerk to The Honorable Sterling Johnson, Jr., of the United States District Court for the Eastern District of New York. Mr. Peace received his J.D. in 1996 from New York University School of Law where he was a member of the Law Review and later served as a member of the Board of Trustees, and his B.A. from the University of California, Berkeley, in 1993.
Panelists
Jennifer Arlen, Norma Z. Paige Professor of Law, NYU School of Law; Founder and Faculty Director, PCCE
Jennifer Arlen is the Founder and Faculty Director, PCCE and is an internationally recognized expert on corporate criminal enforcement policy. Author of more than 50 scholarly publications, she drafted the Principles of the Law of Criminal, Civil, and Administrative Enforcement Against Individuals and Companies for Organizational Misconduct for the American Law Institute’s Principles of Law on Compliance and Enforcement for Corporations. Arlen received her BA in economics from Harvard College (1982, magna cum laude) and her JD (1986, Order of the Coif) and PhD in economics (1992) from New York University. She has been a Visiting Professor at the California Institute of Technology, Harvard Law School, and Yale Law School, and was the Ivadelle and Theodore Johnson Professor of Law and Business at USC Gould School of Law before coming to NYU. She clerked for Judge Phyllis Kravitch on the US Court of Appeals for the 11th Circuit.
Benton Campbell, General Counsel, Deloitte USA LLP
Ben Campbell is the General Counsel, Deloitte USA LLP. As the General Counsel of Deloitte USA LLP, Ben is responsible for providing legal advice and guidance to the Deloitte U.S. Firms and their leadership and managing a team of attorneys who address legal issues, contracting and governance needs, global and network matters, civil and regulatory litigation, policy review and development, internal reviews and investigations, and consultations with engagement teams on all aspects of the Deloitte U.S. Firms' operations. He has extensive trial, appellate, and litigation experience as a prosecutor and civil attorney in a wide variety of matters.
Hui Chen, Senior Advisor, R&G Insights Lab
Hui Chen is a Senior Advisor within R&G Insights Lab and an international leader and expert in organizational integrity. She was the first Compliance Expert at the U.S. Department of Justice, and authored the “Evaluation of Corporate Compliance Programs” document that redefined compliance expectations. She began her career as a federal prosecutor in the Department of Justice in Washington, D.C. and the Eastern District of New York. Hui has extensive in-house experience asa senior legal and compliance leader at Microsoft Corporation, Pfizer Inc., and Standard Chartered Bank, in locations across the globe including Munich, Beijing, New York and London. Hui is a thought leader who has published frequently in legal, business, and academic journals, including the Harvard Business Review. At the R&G Insights Lab, she advises clients on a broad range of strategic issues and continues her thought leadership with publications and podcasts.
Kevin Conlon, Vice President - Global Head, Risk and Compliance Program, PayPal
Kevin Conlon is the VP Global Head of PayPal’s Risk and Compliance Program. Areas within his remit include, Enterprise Risk and Compliance Policy, Taxonomy, Risk Appetite Framework, Risk Assessment, and Risk Response. Kevin has been with PayPal for 5 years holding a number of roles within the second line of defense. Prior to joining PayPal, Kevin worked at American Express as the Portfolio General Audit for their Banking Operations, Risk, and Compliance programs.
Joseph Facciponti, Executive Director, Program on Corporate Compliance and Enforcement
Joseph Facciponti is PCCE's Executive Director and an Adjunct Professor at NYU and Cornell Law School. He is a former cybercrime and complex frauds prosecutor with in-house and private practice experience in internal investigations, data breaches, and regulatory and compliance matters concerning cybersecurity, data privacy, and financial crime. For nine years, he was a prosecutor at the SDNY, where he won an FBI Director’s award for outstanding cyber investigation. Later, Facciponti was Deputy Head of global internal investigations at HSBC. He has also spent over eight years in private practice counseling clients on financial crime, cybersecurity, data privacy, and other issues. Facciponti is currently the Co-Chair of the New York State Bar Association’s Committee on Privacy, Data Security and Information Technology Litigation.
Matt Galvin, Counsel, Compliance and Data Analytics, Department of Justice
Matt Galvin is the Compliance and Data Analytics Counsel for the Fraud Section, Criminal Division, Department of Justice. Matt served as the Chief Compliance Officer for AB InBev, one of the world’s leading FMCG companies after spending over a decade in leading international law firms. Matt is recognized as a leader in developing effective, measurable compliance programs and integrating data analytics, behavioral psychology and common sense into compliance frameworks, having won several awards for innovation in the practice of law from the Financial Times, New York Law Journal, American Lawyer and other publications. Matt has held faculty and research positions at MIT, Harvard Business School, Sorbonne Law School and Fordham Law and frequently lectures on disruptive technology in law. He is a graduate of Georgetown Law.
Patricia Harned, Chief Executive Officer, Ethics and Compliance Initiative
Pat Harned, Ph.D., is the CEO of the Ethics & Compliance Initiative. ECI is a nonprofit with a mission to empower organizations to operate with integrity. For nearly two decades, Dr. Harned has overseen all of ECI’s strategy and operations. She is a recognized expert on culture change, ethical leadership, and workplace reporting/retaliation. She also directs ECI’s outreach efforts to policymakers and federal enforcement agencies in Washington, DC. Dr. Harned has provided ethics & compliance briefings to officials in the US Department of Justice, testified before Congress and the U.S. Sentencing Commission, and has personally briefed U.S. Secretary of Defense Ash Carter, the OSHA Whistleblower Protection Advisory Committee, and the Federal Bar Council. She provides training to corporate boards on governance and is chairing a Blue-Ribbon Commission to define effective corporate (ESG) programs.
Ilana Hechter, Partner, Oliver Wyman
Ilana Hechter is a partner in Oliver Wyman’s People and Organizational Performance practice in Toronto. With over 20 years of global management consulting and Human Capital experience, Ilana has worked with industry leaders across Canada, the US, and Central Europe. Ilana’s expertise spans all areas of organization effectiveness, having led and delivered engagements in strategic transformation, operating model/org redesign, change enablement, workforce and digital transformation, HR strategy, and talent management.
Justin Herring, Executive Deputy Superintendent, Cybersecurity Division, NYDFS
Justin Shibayama Herring is an Executive Deputy Superintendent at the New York Department of Financial Services (DFS), where he leads the Cybersecurity Division. Mr. Herring joined DFS from the U.S. Attorney’s Office of New Jersey, where he was Chief of the office’s first Cyber Crimes Unit. Mr. Herring graduated from the University of Chicago Law School, and received a B.A. from Swarthmore College. After law school, he clerked for Chief Judge Danny J. Boggs on the U.S. Court of Appeals for the Sixth Circuit.
Robert Jackson, Jr., Pierrepoint Professor of Law, NYU School of Law, Former Commissioner of the SEC
Robert J. Jackson, Jr. is Professor of Law, Co-Director of the Institute for Corporate Governance and Finance, and Director of the Program on Corporate Law and Policy at the New York University School of Law. He was nominated and unanimously confirmed by the Senate to be Commissioner of the U.S. Securities and Exchange Commission in 2017 and served in that role until February 2020. Prior to his nomination to the Commission, Professor Jackson taught at Columbia Law School, where students honored him with the Reese Prize for Excellence in Teaching. Before that, he served as a senior policy advisor at the U.S. Treasury Department during the financial crisis and as deputy to Kenneth Feinberg, Treasury’s Special Master on Executive Compensation. Earlier in his career, Professor Jackson practiced law at Wachtell, Lipton, Rosen & Katz and was an investment banker at Bear, Stearns.
Natalie Lamarque, Executive Vice President, General Counsel and Secretary, Principal Financial Group
Natalie Lamarque joined Principal Financial Group, Inc. as Executive Vice President and General Counsel in July 2022 and as of October 2022, the Executive Vice President, General Counsel and Secretary. Natalie oversees the Law, Compliance and Government Relations Departments. Prior to this role, she was employed by New York Life from 2014 to July 2022. At New York Life, Natalie held various positions, including Senior Vice President and General Counsel. From 2007 to 2014 she was an Assistant U.S. Attorney for the U.S. Attorney’s Office for the Southern District of New York, Criminal Division. Natalie obtained her B.A. cum laude from Duke University and Juris Doctor magna cum laude from Duke University School of Law.
Glenn Leon, Chief, Fraud Section, Department of Justice
Glenn Leon is the Chief of the Fraud Section of the Criminal Division at the U.S. Department of Justice. In this capacity, Glenn oversees over 150 federal prosecutors nationwide and supervises federal criminal investigations and prosecutions involving securities fraud, commodities fraud, healthcare fraud, government procurement fraud, federal bribery offenses, and violations of the Foreign Corrupt Practices Act. Glenn rejoined the Fraud Section this year after previously serving as an Acting Deputy Chief in the Fraud Section’s Securities and Financial Fraud Unit. He earned his J.D. from New York University School of Law, and graduated from Brandeis University, magna cum laude, with a degree in Economics.
Erez Liebermann, Partner, Debevoise
Erez Liebermann is a litigation partner and a member of the firm’s Data Strategy & Security Group at Debevoise & Plimpton LLP. His practice focuses on advising major businesses on a wide range of complex, high-impact cyber-incident response matters and on data-related regulatory requirements. With decades of experience in data issues as a litigator, federal prosecutor and senior in-house counsel at a global insurance company, Mr. Liebermann regularly advises clients at the C-suite and board level on building strategies to reduce their data-related regulatory and reputational risks, and on navigating high-profile government investigations following data incidents. He is also widely acknowledged as a leading cybersecurity and data privacy professional and is ranked among the leading lawyers by Chambers USA (2022).
Timothy J. Lindon, Senior Fellow, PCCE
Timothy Lindon is a Senior Fellow of PCCE and an Adjunct Professor at the NYU School of Law, where he co-teaches Compliance and Risk Management for Attorneys. He is a Senior Advisor to the Ethics & Compliance Initiative and the Association of Professional Social Compliance Officers. Mr. Lindon is certified as an Executive Coach by the International Coaching Federation, and leads Peer Leadership Groups for Chief Ethics and Compliance Officers. He has broad experience in legal and compliance leadership roles in the U.S., Europe, and Asia, including as global Vice President and Chief Compliance Officer of Philip Morris International, based in Switzerland. Previously, Lindon held senior corporate and litigation positions for Philip Morris in Hong Kong, New York, and Washington, D.C. He clerked for the Honorable John D. Butzner Jr. of the U.S. Court of Appeals for the Fourth Circuit, and began his legal career at Arnold & Porter in Washington D.C. Mr. Lindon received his J.D. from NYU School of Law, where he was a Root Tilden Scholar, and a B.A from Tufts University.
Erin Morrow, Managing Director, Chief Compliance Officer - Compliance Testing, Citi
Erin Morrow is the Chief Compliance Officer (CCO) for Citi’s Global Compliance Testing program and a member of Citi’s Independent Compliance Risk Management (ICRM) Executive Management team. Erin leads a global team responsible for evaluating Citi’s compliance with laws, rules and regulations. She partners with stakeholders across Citi to develop innovative testing strategies that increase both the scale and depth of Citi’s testing coverage and helps proactively identify emerging compliance risks across the firm. Erin has previously served as Citi’s CCO the Global Consumer Bank (GCB) and as Citi’s Chief Auditor for GCB. Erin holds a BA in Economics and Mathematics from the College of the Holy Cross and an MBA in Finance NYU. She is a Certified Regulatory Compliance Manager (CRCM).
Steve Peikin, Partner, Sullivan and Cromwell
Steven Peikin leads Sullivan & Cromwell’s Securities & Commodities Investigations Practice. He has particular expertise in matters involving the federal securities and commodities laws. He represented institutions and individuals in numerous high-profile matters, including those involving alleged violations of federal securities and commodities laws, the FCPA, price-fixing, and compliance with economic sanctions and anti-money laundering regimes. From 2017 to 2020, Mr. Peikin served as Co-Director of the U.S. Securities and Exchange Commission’s Division of Enforcement, where he oversaw all aspects of the SEC’s national enforcement program. He also coordinated SEC enforcement activities with the Department of Justice, the CFTC, and numerous foreign securities regulators around the world. Before joining S&C, Mr. Peikin served for eight years as a prosecutor in the U.S. Attorney’s Office for the Southern District of New York, including as Chief of the Securities and Commodities Fraud Task Force.
Kathryn Reimann, Senior Fellow, PCCE
Kathryn Reimann serves on the board of LendingClub (NYSE: LC). She also teaches at NYU School of Law, is a Senior Advisor at Oliver Wyman and serves as Regulatory Advisor at Hummingbird RegTech. She is also a Senior Fellow at PCCE, and a member of the American. Kathryn previously served as the global Chief Compliance Officer of Citibank, NA and Citi’s Global Consumer Bank, joining Citi in 2006 after nearly a decade leading the compliance program at American Express. Kathryn legal and compliance experience also includes executive legal and compliance positions in the securities industry, and early in her career, a stint in litigation at Curtis, Mallet, Prevost and Mosle. Kathryn is a graduate of the Princeton University School of Public & International Affairs, and NYU School of Law. She clerked for the New Jersey Supreme Court.
Pamela Root, Senior Advisor, Oliver Wyman; Former Global Head of Compliance, Deutsche Bank AG
Pamela Root is a seasoned Compliance executive in the international financial services industry, with strong regulatory, compliance, legal and governance experience. She has worked in London, New York and Hong Kong. Ms. Root is currently a Senior Advisor with Oliver Wyman in its Compliance practice. From 2016 through 2021, Ms. Root was an MD and the global Chief Compliance Officer at Deutsche Bank AG. From 2009 to 2016, Ms. Root was at Citigroup where she was an MD and the Chief Compliance Officer for the Global Institutional Client Group. From 1986 to 2009, Ms. Root was at Goldman Sachs, holding various senior legal and compliance roles. Ms. Root is a member of the New York Bar, holds a number of securities qualifications, and has a Directorship Certification from NACD. She received her JD from New York University School of Law, and her BA from Bryn Mawr College.
Nubiaa Shabaka, VIce President, Global Chief Cybersecurity, Legal and Privacy Officer, Adobe
Nubiaa Shabaka serves as Vice President, Global Chief Cybersecurity Legal and Privacy Officer for Adobe. Her responsibilities encompass overseeing all aspects of Adobe’s global data protection and privacy programs and all legal aspects of Adobe’s global cybersecurity and information security programs, on an enterprise-wide basis. Immediately prior to joining Adobe in September 2022, Nubiaa served in the same capacity at AIG. Prior to joining AIG in January 2019, Nubiaa worked at Morgan Stanley for 11 years in similar privacy and security leadership roles, including Head of Global Cybersecurity Legal and Americas Head of Privacy and Data Protection. Nubiaa started her career as a technology associate in Proskauer Rose's New York office. She earned a Bachelor of Arts, magna cum laude, from New York University and a JD from Harvard Law School.
Eugene Soltes, McLean Family Professor of Business Administration, Harvard Business School; Founder, Integrity Lab
Eugene Soltes is the McLean Family Professor of Business Administration at Harvard Business School and the Founder of Integrity Lab. His expertise lies in the use of data and quantitative methods to analyze organizational culture and conduct. Dr. Soltes has supported organizations’ development of data-driven compliance programs and has published in leading academic and practitioner journals on the use of data science to understand and evaluate compliance program design. He is the author of the bestselling Why They Do It: Inside the Mind of the White-Collar Criminal and co-author of Corporate Criminal Investigations and Prosecutions. Dr. Soltes’ work at Integrity Lab is supported by an experienced team of data scientists, statisticians, and engineers.
Bruce Yannett, Partner, Debevoise and Plimpton LLP
Bruce Yannett has served for many years as the global head of the White Collar & Regulatory Defense Practice at Debevoise. He spent 11 years as the firm's Deputy Presiding Partner, until June 30, 2022. His practice includes representing companies and individuals in all types of enforcement matters, both in the US and abroad, including FCPA, securities fraud, money laundering, accounting fraud, sales practices issues and cyber security. He is a member of the American Law Institute.