On Feb. 4, 2014, Compliance Week and LRN presented an editorial roundtable at the InterContinental Hotel Barclay in New York City. The focus of the roundtable, which was moderated by Compliance Week Editor Matt Kelly, was on how to identify and reduce third-party risks. Attendees' full biographies are below.

Wayne Brody

Senior Knowledge LeaderLRN

 

Wayne Brody brings to LRN his deep knowledge and expertise in a number of ethics and compliance disciplines, including effective ethics and compliance program design, implementation and assessment, privacy, global trade regulation, records retention, and government contracting. Brody came to LRN from The Park Hill Consultancy, of which he was founder and principal. He was formerly the chief compliance officer and vice president, legal affairs, of Arrow Electronics, a Fortune 150 global provider of products, services, and solutions to industrial and commercial users of electronic components and enterprise computing solutions. Early in his career, Brody was a litigator at the New York City firm of Hyman, Miner & Robbin.

Thomas Costa

VP for U.S. Pharmaceuticals Compliance & EthicsBristol-Myers Squibb

 

Thomas Costa is vice president, U.S. Pharmaceuticals compliance & ethics for Bristol-Myers Squibb. Costa joined Bristol-Myers Squibb in 1987 as worldwide regulatory counsel. During his career at Bristol-Myers Squibb, he hashad legal responsibility for licensing, global marketing, research & development, patents, technical operations, and U.S. pharmaceuticals. In addition, Costa spent two years in London leading the Bristol-Myers Squibb international legal team. Before joining Bristol-Myers Squibb he worked with the law firm of Hunton & Williams and the A.H. Robins pharmaceutical company.

Eve Costopoulos

Chief Ethics & Compliance OfficerEisai

 

Eve Costopoulos is vice president and chief ethics and compliance officer of Eisai Inc., responsible for leading the company's commercial and R&D compliance programs as well as internal audit activities. She also serves as a member of the company's executive committee. Prior to joining Eisai in 2010, Costopoulos was employed at Schering-Plough Corp., where she was responsible for managing the activities of the company's global compliance officers. During her tenure there, she implemented and oversaw compliance training activities, the global privacy program, integrity action line and compliance-related investigations, and compliance-related board support. Earlier in her career, Costopoulos worked as a lawyer holding the position of in-house counsel with Schering-Plough. Costopoulos is a member of the Pharmaceutical Compliance Forum (PCF), a coalition of compliance professionals and legal counsel from throughout the research-based pharmaceutical industry focused on promoting effective corporate compliance programs.

Dan Dunham

Chief Compliance OfficerAptalis Pharma

 

Dan Dunham is vice president, chief compliance officer of AptalisPharma U.S. Inc., a specialty pharmaceutical company located in northern New Jersey. Dunham joined Aptalis in February 2012 as the company's first compliance officer and has created the company's compliance department and program. Prior to joining Aptalis, Dunham served as chief compliance officer at Astellas U.S. , where he spearheaded the development of the company's global compliance program and created the Astellas privacy program. In the mid-1990s, Dunham created the pharmaceutical industry's first modern compliance program at Warner-Lambert Co. At Warner-Lambert, Dunham defended one of the first criminal prosecutions of an ethical pharmaceutical company, helped lead the company's efforts to comply with a manufacturing and laboratory-focused consent decree and defended one of the industry's first modern off-label promotion prosecutions. Subsequently, at Pharmacia Corp. and Pfizer Inc., Dunham defended Medicaid and Medicare “AWP” pricing fraud cases. Prior to joining the pharmaceutical industry, Dunham practiced law in New York, specializing in commercial litigation.

Marianne Fogarty

Business Ethics & Anti-Corruption OfficerMasterCard

 

Marianne Fogarty is the business ethics & anti-corruption officer for MasterCard Worldwide. Fogarty is a member of MasterCard's global compliance group, which is responsible for helping the company manage and meet its ethical and legal commitments, including compliance with U.S. and international laws governing corruption. Fogarty is responsible for day-to-day management of MasterCard's global anti-corruption program, the regional compliance program, the Code of Conduct, and global ethics education and awareness. She also manages and conducts internal investigations of employee fraud and misconduct related to violations of the law, financial regulations, and company policies. Prior to joining MasterCard, Fogarty worked at Boies, Schiller & Flexner and Davis Polk & Wardwell; prior to entering private practice, Fogarty clerked for the Hon. Thomas J. Meskill, United States Court of Appeals for the Second Circuit.

Maria Hermida

Chief Ethics OfficerCitigroup

 

Maria Hermida is the chief ethics officer of Citigroup and is responsible for the global ethics office, coordinating the investigation of concerns raised through the Ethics Hotline, and developing Citi's Code of Conduct and Code of Conduct Training. Since 2004, Hermida has held various positions of expanding responsibility at Citi, including General Counsel of Women & Co., a membership service focused on providing financial educational insights and resources to the women's market. Prior to joining Citi, she was deputy general counsel for Royal Alliance Associates Inc. During her seven year tenure, she managed the company's arbitrations, litigations, regulatory matters, and customer complaints. Maria began her legal career as a litigation associate with the law firm of Shanley & Fisher.

Mickey Kim

Senior Director, ComplianceCelgene

 

Michael “Mickey” Kim has been the senior director, compliance at Celgene Corp. since May 2012. While at Celgene, Kim has led the implementation of Celgene's anti-bribery/anti-corruption third party due diligence program. He is also responsible for the development and implementation of corporate policies and the corporate compliance online training program. Prior to Celgene, he was the director of compliance and assistant general counsel – compliance for Ingersoll Rand from July 2006 to May 2012; the assistant general counsel and director of compliance at AIG from 2001 to 2006; and counsel, worldwide corporate compliance group at Warner-Lambert from 1997 to 2000.

Edward Kowalcyk

Managing Director, Regional Head of ComplianceStandard Chartered Bank

 

Edward Kowalcyk is managing director, regional head of compliance, Americas for Standard Chartered Bank (SCB), based in New York. In this capacity, Kowalcyz has responsibility to provide support to all wholesale banking businesses, as well as the broker-dealer functions, in the United States, Canada, and Latin America. Kowalcyk joined SCB in 2006. Prior to his tenure at SCB, he served in various general counsel, compliance, and operational risk functions during his 30+ year experience at Citigroup, covering the corporate/investment, consumer, and private bank.

Richard Lang

Chief Ethics OfficerHSBC

 

Richard Lang recently joined HSBC as chief ethics officer for the United States, where he is responsible for the design, development, implementation, and promotion of policies and programs in support of a strong ethical culture. Lang also teaches business ethics courses at Albertus Magnus College. Lang was previously acting general counsel & chief compliance officer for Open Solutions Inc., a technology provider for banks, where he led its successful $1 billion acquisition by Fiserv Inc. Before that, he was chief ethics, compliance & privacy officer for Unum, which he joined in the wake of allegations regarding its disability insurance claims handling practices. For over a decade, Lang worked for Travelers in various legal and compliance roles, including the first full-time chief compliance officer at Travelers.

Charles Senatore

Head of Corporate ComplianceFidelity Investments

 

Charles Senatore is head of corporate compliance for Fidelity Investments, a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing, and other financial products and services to more than 20 million individuals, institutions, and financial intermediaries. He is responsible for overseeing the fulfillment of regulatory requirements across Fidelity's investment management, investment advisory, institutional, and brokerage businesses. Prior to joining Fidelity in May 2003, Senatore served as co-head of Global Compliance at Merrill Lynch, after having served as head of the firm's Regulatory Affairs Group. From 1994 to 1997, he served as director of the Securities and Exchange Commission's Southeast Region. Prior to his service at the Commission, Mr. Senatore practiced law in South Florida, and served as an assistant U.S. attorney in the Southern District of Florida, including service as chief of that office's Public Corruption Section.