On March 22, 2011, Compliance Week and Crowe Horwath presented an editorial roundtable at the Ritz-Carloton Dallas. More than 10 chief compliance officers attended the discussion, which focused on corporate ethics: understanding it, improving it, and demonstrating it. The forum was moderated by Compliance Week Editor Matt Kelly. Attendees' full biographies are below.
Audrey Andrews
Chief Compliance OfficerTenet Healthcare
Audrey Andrews, senior vice president and chief compliance officer of Tenet Healthcare Corporation, oversees the company's ethics and compliance program and is responsible for the implementation of Tenet's Corporate Integrity Agreement. Andrews reports directly to the quality, compliance and ethics committee of Tenet's board of directors. Prior to her appointment as chief compliance officer in 2006, Andrews served as vice president and assistant general counsel for Tenet's regulatory affairs. In that position, she led the law department regulatory group handling Federal Program reimbursement, quality of care, and other regulatory issues and commenting on proposed healthcare legislation and regulations. She was promoted to senior vice president in 2008.
Bobby Butler
Chief Compliance OfficerUniversal Weather and Aviation
Bobby Butler is vice president, chief compliance officer, and director of corporate compliance, internal audit and government and industry affairs for Universal Weather and Aviation, Inc. based in Houston, Texas. Butler has extensive experience with compliance and international business issues and is a regular speaker on subjects such as the Foreign Corrupt Practices Act, global anti-bribery, business ethics, export controls, economic sanctions, anti-boycott, and the like. Butler is the former chairman of the board of the International Compliance Professionals Association and a member of the Houston District Export Council.
Judy Carter
Chief Compliance OfficerBNSF Railway Company
Judy Carter is associate general counsel and chief compliance officer of BNSF Railway Company, the operator of one of the largest railroad networks in North America. As chief compliance officer, she is responsible for the design and implementation of BNSF's compliance and ethics program, including the company's Code of Conduct and policies. She is also responsible for executive compensation and benefit plan issues, as well as securities compliance and disclosure. Prior to joining BNSF, Carter was a member of the Corporate and Securities practice group at Winstead PC in Dallas, Texas.
Chip Duffie
Chief Compliance OfficerSafety-Kleen Systems
Chip Duffie is the senior vice president and chief compliance officer for one of North America's largest environmental service providers, Safety-Kleen Systems, Inc. headquartered in Plano, Texas. Duffie is directly responsible for Safety-Kleen's office of compliance and ethics, environmental, health and safety compliance oversight, internal audit and liability projects related to site remediation.
Rosario Heppe
Senior Director, Corporate ComplianceFluor
Rosario Heppe is currently the senior director, corporate compliance at Fluor Corporation and adjunct lecturer at Southern Methodist University's Dedman School of Law. Fluor is a Fortune 150 company that delivers engineering, procurement, construction, and maintenance and project management services to governments and companies around the world. Prior to joining Fluor, Heppe was an assistant general counsel at American International Group, Inc. in New York, where she oversaw the global anti-bribery and economic sanctions programs for the enterprise with over 100,000 employees in over 130 countries. Heppe has also served as corporate counsel and assistant secretary of Dresser, Inc. in Dallas, working on corporate, securities, commercial, and compliance matters and serving on the company's disclosure committee and its Sarbanes-Oxley 404 steering committee. Before going in-house, she was in the international practice group at Baker & McKenzie in Dallas.
Eric Hinton
Director, Chief Legal CounselLennox International
Eric Hinton is an attorney with Lennox International Inc. in Richardson, Texas. At Lennox, he is chief legal counsel for Lennox's Worldwide Refrigeration Division and director of the business conduct office. Prior to joining Lennox, Hinton worked for nearly ten years for Caterpillar Inc. in various international positions. He spent three years in Belgium as chief legal counsel for Caterpillar's subsidiary, Solar Turbines Europe, SA. Prior to joining Caterpillar, Hinton practiced international trade law at the Washington, D.C. office of an international law firm.
Gina Johnson
Associate General Counsel, Labor & EmploymentSabre
Gina Johnson is an associate general counsel in the Sabre Inc. legal department. Johnson has responsibility for all ethics and compliance matters globally for Sabre Inc., while also managing the company's privacy office and handling all employment disputes. Johnson has been with Sabre since 2001. Prior to joining the company, Johnson was in private practice for nearly five years with Dallas-based Haynes & Boone law firm practicing employment law.
Gary Rowen
Chief Compliance Officer, Associate General CounselCelanese
Gary Rowen is chief compliance officer for Celanese Corporation and coordinates the global business conduct policy programs. He led the redesign of the Celanese Business Conduct Policy last year, which was rated an “A” by Ethisphere magazine and called “one of the top Codes in the industry.” He also leads the environmental, health, and safety practice in the Celanese law department, supports major acquisition and divestiture work, and is the lead lawyer on the EVA Polymers Core Leadership Team. Rowen has been with the Celanese law department since 1984. Prior to that he was an assistant regional counsel with the U.S. Environmental Protection Agency.
Denise Russell
Director of ComplianceCash America International
Denise Russell is director of compliance for Cash America International, Inc. located in Fort Worth, Texas. In her role, Russell assists with the ever-expanding legal and regulatory framework that impacts Cash America, including responses to regulatory audits, business rule development for new products, and continued support of current products. Prior to this position, Russell was an associate general counsel at Cash America with responsibility over labor/employment matters, management of litigation, privacy issues, document retention, and general legal support for various departments. Russell has been practicing law for ten years and is board certified in labor and employment law by the Texas Bar of Legal Specialization. Prior to joining Cash America, she was in private practice in Fort Worth and San Antonio specializing in labor and employment litigation. Russell has participated in programs sponsored by the Texas Business Association, Lorman Education Services, and local chapters of the Society for Human Resource Management. Russell has served on the boards for the San Antonio Young Lawyers Association and the San Antonio Human Resource Management Association.
Jim Stempak
Principal, Risk ServicesCrowe Horwath
Jim Stempak has over 25 years of experience in providing operational and technology risk and compliance consulting services to both domestic and international clients. He has focused substantial time on assisting companies with the assessment of enterprise, business unit, and process risks, and with the development of appropriate risk-management and compliance strategies. Over his career, Stempak has also been a featured speaker on risk-management-related topics to professional organizations on a regional and national basis. He led the opening of Crowe's first office in Texas and currently leads the Dallas/Fort Worth Risk Services practice. Recent engagements include; assisting clients with tying corporate governance to enterprise risk management (ERM), ERM program assessments, and internal audit (IA) process and organization assessments guided by a new IA model focused on the principals of compliance, assurance, business performance improvement, and risk identification.
Irene Wills
Director, Ethics & ComplianceFlowserve
Irene Wills is director of ethics and compliance at Flowserve Corporation. She has been with Flowserve since 2002 and in the area of ethics and compliance since early 2006. Her current regional responsibilities include both North and South America. Global accountabilities include Code of Business Conduct administration and coordination of related training and communication programs and campaigns; committee member for review of hotline reports and related disciplinary actions; team member with the global trade group in third-party due diligence; administration of the company's anti-fraud program and administration of contracts and relationships with third-party vendors related to ethics and compliance.
Jonathan Marks
Head of the Ethics, Anti-Fraud PracticeCrowe Horwath
Jonathan Marks is the partner-in-charge of fraud & ethics at Crowe Horwath. A nationally recognized thought leader on fraud, Sarbanes-Oxley, risk, governance, internal audit, technical accounting, and Securities and Exchange Commission matters, Marks also leads the IFRS initiative for the firm, and has contributed to Compliance Week on related matters.
Ann Bruder
Sr. VP of Law, Government Affairs & Global ComplianceCommercial Metals Company
Ann Bruder was appointed senior vice president of law, government affairs and global compliance, general counsel, and corporate secretary at Commercial Metals Company in July 2010. Prior to this appointment, Bruder served as the company's vice president, general counsel, and corporate secretary. Bruder joined the company in 2007 as deputy general counsel. She previously had been employed as chief counsel, chief compliance officer, and corporate secretary at CARBO Ceramics, Inc.(Photo Not Available.)
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