Roundtable Biographies - 02/28/12

On Feb. 28, 2012, Compliance Week and Crowe Horwath presented an editorial roundtable at the Ritz Carlton Hotel in San Francisco. The focus of the roundtable, which was moderated by Compliance Week Editor Matt Kelly, was on managing risk with third parties.

Stephen Arietta

Vice President, Internal AuditUnited Online Inc.

Stephen Arietta has over 12 years of internal audit and risk management experience in the technology, consumer products and services, entertainment, and hospitality industries. In his current role as vice president, internal audit, Arietta created the internal audit department and has developed the department's responsibilities to include internal audit, Sarbanes-Oxley Act compliance, and various areas of governance, risk, and compliance. Prior to joining United Online, Arietta worked as an associate director at Protiviti Inc., where he advised numerous clients with their internal audit, enterprise risk management, and governance, risk, and compliance initiatives. Arietta is a Certified Internal Auditor (CIA) and has a Certification in Risk Management Assurance (CRMA).

Tyson Avery

SVP, Global ComplianceCB Richard Ellis

Tyson Avery is senior vice president of global compliance for CBRE Inc. CBRE is the world's largest, publically traded commercial real estate services provider with approximately 30,000 employees and $6B in annual revenue. In this position, Tyson is the senior executive responsible for the global ethics and compliance program, which includes both domestic and international responsibilities. He leads a team of over 60 dedicated professionals, and works in the corporate world headquarters in Los Angeles, CA. Prior to CBRE, Tyson served as the director of ethics & compliance of ITT Defense. In this role, Tyson built an integrated and sustained ethics and compliance program for a $6B organization in the aftermath of one of the largest regulatory prosecutions in US history, including over $100 million in fines and remediation. He was also the global process owner for compliance of a corporate-wide SAP implementation. Prior to these assignments, Tyson held various positions as legal counsel and within the areas of ethics and compliance, industrial security, trade compliance, and environmental, health, and safety. Prior to his corporate experience, Tyson spent ten years as a judge advocate serving in the U.S. Marine Corps where he held positions of increasing responsibility, including prosecuting and defending felony level criminal cases, serving as one of the first Geneva Convention Magistrates in Iraq, and as the sole military attorney in the White House Counsel's Office. In 2004, the American Bar Association named Tyson the Young Military Lawyer of the Year. He was also awarded the Bronze Star for his service during Operation Iraqi Freedom.

John Beeler

Chief Audit ExecutiveSalesforce.com

John Beeler has served as the senior vice president, internal audit at Salesforce.com since January 2008. Prior to Salesforce.com, he held finance operations and internal audit/compliance leadership roles at companies including Amgen Inc. and Brunswick Corporation. Beeler began his career at Price Waterhouse. He currently serves on the board of governors of the IIA's San Francisco chapter as a vice president of programs, and on the IIA's Committee for Research and Education Advisors.

Sara Duncan

Corporate CounselPandora Media Inc.

Sara Duncan has served as corporate counsel in the Pandora legal department since June 2010. Prior to working at Pandora, Duncan was an associate in both the New York and San Francisco offices of the law firm Gibson, Dunn & Crutcher. During her years of legal practice, she has focused on legal issues relating to mergers and acquisitions, corporate governance, business development, digital media, employment matters, and compliance. Duncan was also actively involved in Pandora's IPO in June 2011.

Martin Espinosa

VP of Internal AuditElectronic Arts Inc.

Martin Espinosa is the vice president of internal audit at Electronic Arts, managing all aspects of internal audit and the SOX compliance program since 2009. He is also an experienced process improvement professional with background in technology, finance, and banking with over 20 years of professional experience. Prior to Electronic Arts, Martin was the head of internal audit and SOX compliance at Avago Technologies (Semi-conductor). He has also held senior finance positions at Yahoo and Sun Microsystems and prior to working in the valley worked in the bank operations fraud.

Lupe Garcia

Associate General CounselThe Gap Inc.

Lupe Garcia is associate general counsel, integrity& compliance for Gap Inc. She has been with Gap for over 12 years and has led the company's Integrity Program since January 2006. In her current role, Garcia focuses on promoting the company's integrity value, and enhancing its compliance around the world. She is also on the Steering Committee for Gap's Latino Employee Resource Group. Prior to 2006, Garcia was a senior corporate counsel at Gap, focused on employment law matters, and she established the company's International Employment Law practice. She is also on the board of directors for the Lawyers' Committee for Civil Rights of the San Francisco Bay Area, and a member of the Bay Area Ethics & Compliance Association. Before joining Gap, Garcia was an associate at Lafayette and Kumagui, practicing employment law.

Inder Gulati

Head of Internal AuditLinkedIn

Inder Gulati has over 18 years of experience and is currently setting up the internal audit function at LinkedIn. This includes establishing a global SOX compliance program, an internal audit function, a risk-management function, and a compliance function. Prior to this, Gulati was working with Visa where he was the VP of finance responsible for Visa's global SOX compliance and external reporting. Gulati has previously led SOX compliance programs for leading technology companies in the Valley such as Network Appliance, Symantec, Verisign, Sandisk, Synaptics, and Dolby Laboratories while working with PwC.

Anne Hoge

Chief Compliance CounselNetApp Inc.

Anne Hoge is the chief compliance counsel, worldwide compliance & products at NetApp Inc., where she leads the legal team responsible for global compliance, regulatory, employment, product, operations, and public policy matters. Prior to NetApp, Hoge was a vice president and associate general counsel at Yahoo! leading a variety of legal teams supporting mobile, tv, communications, e-commerce, and other global product and regulatory efforts. Hoge also served as an associate at the law firm of Wiley Rein in Washington, D.C., in the firm's telecommunications, Internet, and privacy practices working for a variety of multinational companies on regulatory, public policy, and transactional issues

Jae Kim

VP of Corporate LawRambus Inc.

Jae Kim is the vice president and chief corporate counsel for the Rambus Legal Department. Kim is also one of the co-compliance officers for Rambus, a role he shares with the company's internal auditor. His responsibilities include oversight for all legal support on M&A, corporate and securities matters, employment and benefits issues, inbound and outbound contract review, and all global compliance matters. Prior to his current role at Rambus, Kim was the assistant vice president, legal for Aricent Group, a global software services firm, where he provided general corporate legal support. Aricent Group is a privately held company, majority owned by KKR. Kim's other prior work experience includes serving as the associate general counsel for Electronics for Imaging Inc., a public company, as a senior associate in corporate/securities for the law firm of Wilson Sonsini Goodrich & Rosati, and as a staff attorney for the Securities and Exchange Commission.

Tony Klaich

PrincipalCrowe Horwatch

Tony Klaich is a partner and leads Crowe's West Region internal audit practice with over 18 years of experience including a variety of internal audit, financial planning and analysis, and management consulting. This includes over 7 years in the industry with Philip Morris/Kraft Foods as a regional controller. He is a thought leader and speaker on internal audit and compliance solutions. He works regularly with Crowe Horwath International on the firm's largest internal audit engagements and is currently acting as the internal audit director for multiple SEC registrants. Klaich is a member of Crowe's CEO roundtable and is a member of the board of directors for Junior Achievement, a non-profit organization dedicated to educating “at-risk” youth in business and economics.

Jo Levy

Global Director of Ethics & Legal ComplianceIntel Corp.

Jo Levy is the global director of ethics & legal compliance at Intel Corporation. She oversees Intel's worldwide legal compliance programs, which include the antitrust and anti-corruption compliance programs, as well as internal investigations directed by the legal & corporate affairs group. She also co-chairs Intel's ethics & compliance oversight committee. Before joining the legal compliance department, Levy was a litigation attorney for more than two decades, practicing in state and federal courts throughout the United States and, more recently, supervising litigation as associate director of litigation in the Intel litigation group. Levy has served as a court-appointed lawyer representative for the Ninth Circuit Judicial Conference, a Conference Executive Committee member for the Ninth Circuit Judicial Conference, and a volunteer court-appointed mediator on behalf of the Northern District of California Alternative Dispute Resolution program.

Mark Meaney

Systemwide Director of Ethics & ComplianceUniversity of California

Mark Meaney is systemwide director of ethics and compliance with the Office of Ethics, Compliance, and Audit Services (ECAS) at the University of California, Office of the President. Meaney is an ethics and compliance professional with more than fifteen years of experience in program development and implementation. Prior to UC, Meaney held a political appointment with the Daley Administration in Chicago as first deputy director of the office of compliance and chief compliance operations officer with responsibility for the creation of the first, corporate-style ethics and compliance program for a municipality. He has held academic appointments with the legal studies department at the Wharton School, University of Pennsylvania. He currently also serves as faculty director, Haas School of Business, UC Berkeley, in ethics and compliance program development. He published the book, A Guide to Professional Development in Compliance. Dr. Meaney also drafted the Code of Professional Ethics for compliance and ethics professionals.

Tracy Preston

Chief Compliance OfficerLevi Strauss & Co.

Tracy Preston is responsible for providing employment law advice, counsel, and training to the human resources organization and the business units, and she manages the company's commercial and employment litigation in the Americas. Globally, Preston works with the senior leaders in HR, including benefits and compensation on policies, practices, and programs that impact LS&CO.'s international employees. Preston also works with global key stakeholders to manage the company's litigation portfolio, including reviewing and monitoring the company's litigation profile, reserves, and other related issues. In addition, Preston is LS&CO.'s chief compliance officer and leads the company in its compliance with federal, state, and local statutes and regulations, its communication regarding compliance and related training. Preston works with the regional compliance officers in Europe and Asia to prevent, detect, and manage the company's legal risk by identifying compliance issues. Preston presents to the audit committee of the board of directors and reports in to both the senior vice president and general counsel and audit committee on all compliance issues.

Amyn Thawer

Senior Director & Counsel, Global ComplianceeBay Inc.

Amyn Thawer is business ethics officer and senior director, global compliance and regulatory affairs, responsible for eBay's pffice of ethics and aompliance. As a member of the legal team Thawer also manages the legal function of eBay's global citizenship initiatives that aim to leverage eBay's core e-commerce capabilities to create social and economic good. He takes special pride in sitting on the board of the eBay Foundation. Prior to eBay, Thawer worked as a corporate securities attorney at the law firms of Wilson Sonsini and Stikeman Elliott. He recently was the recipient of the 2011 Attorneys Who Matter Honor by Ethisphere Magazine for exceptional contributions to the corporate compliance field.

K.C. Turan

Chief Compliance & Ethics OfficerBlue Shield of California

K.C. Turan is Blue Shield of California's VP, chief compliance & ethics officer. In this role, he is responsible for building, sustaining, and leading the company's corporate compliance & ethics, privacy, and special investigations unit (fraud) programs across the enterprise. Prior to joining Blue Shield, Turan was Dun & Bradstreet's VP, chief compliance officer & chief privacy officer. He previously worked for Countrywide Financial Corporation (now Bank of America), Ford Motor Company, and Graham & James.

Rick Warren

PrincipalCrowe Horwath

Rick Warren is a principal and the leader of Crowe's Third-Party Risk Services Practice, organized to help companies of all sizes deal with the complexity of their relationships. He also lead's Crowe's Atlanta market and serves as the leader of the internal audit practice for the southeast United States. He was recently named one of the 100 most influential individuals in the Atlanta legal and accounting community by the Atlanta Business Chronicle. Warren has more than 20 years of experience in helping companies and their audit committees with governance, compliance financial analysis, internal audit, enterprise risk management, and financial statement audit. He specializes in developing innovative and cost-effective solutions for enhancing competitiveness, increasing revenues, improving customer service, and enhancing shareholder value. Prior to joining Crowe, Warren was a principal in the risk consulting practice of a Big Four accounting firm for seven years. He has served 19 Fortune 500 companies, with 7 of those in the Fortune 100. His industry experience includes manufacturing and distribution, consumer products, life sciences, aerospace, transportation, financial services, and high-tech.