On Dec. 7, 2011, Compliance Week and Crowe Horwath presented an editorial roundtable at the Four Seasons in New York. The focus of the roundtable, which was moderated by Compliance Week Deputy Editor Joe McCafferty, was on moving a compliance program into the realm of enterprise risk management.

Mitch Avnet

SVP and Chief Ethics & Compliance OfficerLincoln Financial Group

 

Mitch Avnet is senior vice president and chief ethics and compliance officer at Lincoln Financial Group in Radnor, Penn. Avnet is responsible for enterprise compliance and ethics at Lincoln Financial, having direct oversight of the company's anti-money laundering, privacy, ethics, and compliance risk-management programs. In addition, Avnet works closely with the Lincoln Financial Business Law and Compliance teams to ensure continuity and consistency in the company's strategic delivery of compliance resources/services throughout the Lincoln Financial footprint. Over the span of Avnet's 18-year career in the financial services industry, he has developed an extensive knowledge of both buy-side and sell-side businesses, with a deep understanding of equity and fixed income markets, derivative instruments, structured products and variable products. Over the past 11 years, Avnet has built compliance risk management programs to support the manufacturing/origination and distribution of proprietary products (closed architecture), as well as, source third- party products on behalf of customers/client relationships (open architecture). During this time frame, Avnet has served in a leadership role, building and integrating compliance teams to be a meaningful and sought-after component of the business process. Avnet maintains the Series 3, 4, 7, 9, 10, 14, 24, 55, 63, and 65 securities license designations.

Bret Bissey

SVP, Chief Ethics & Compliance OfficerUniversity of Medicine & Dentristy of New Jersey

 

Bret Bissey is a nationally recognized professional in healthcare compliance with over 14 years of experience. He joined UMDNJ in December 2010 and is responsible for managing the compliance and ethics program (35 FTEs and budget in excess of $4 million) of the largest public health sciences university in the United States to be in adherence with a rigorous 5-year corporate integrity agreement with the Department of Health and Human Services Office of Inspector General which followed a two-year period of Federal Monitor oversight. He is author of the Compliance Officer's Handbook, published in 2006, and has presented at 70+ industry conferences/meetings. Bissey was chief compliance & privacy officer at Deborah Heart and Lung Center for 9 years where he oversaw the successful adherence to the three-year (1999–2001) Corporate Integrity Agreement. Bissey is a Fellow of the American College of Healthcare Executives, the Health Care Compliance Association (Certified-CHC), Healthcare Financial Management Association and the Ethics Officer Association. He is a Past President (2001-2003) for Region 2 (NY, NJ, PR and U.S. Virgin Islands) of the Health Care Compliance Association.

Kathleen Dimmick

VP Internal AuditMaidenform, Inc.

 

Kathleen Dimmick is VP internal audit and risk management at Maidenform Inc. She is responsible for internal audit, including independent SOX testing as well as the facilitation of the company's enterprise risk management program. Previously she served as VP risk control and compliance at Liz Claiborne Inc, where she built and led an in-house global iInternal audit department with associates located in the United States and Amsterdam. She directed the execution of SOX testing, developed and led a global risk assessment across the organization, and partnered with the organization to facilitate value-add audits. Prior to audit, Dimmick held various roles within the finance and IS organization at Liz Claiborne including, divisional finance, retail chargeback compliance and system process design and implementation.

Dan Dorsky

Senior Compliance Counsel-FCPATyco International

 

Dan Dorsky is Tyco's senior compliance counsel – FCPA. Dorsky plays a leading role in driving Tyco's worldwide compliance with the Foreign Corrupt Practices Act and other global anti-corruption laws. Toward this end, he leads and oversees investigations, assists in the resolution of compliance matters, assists in revising policies, and provides compliance training. He also assists with other compliance issues as they arise. He joined Tyco from Home Box Office, where he had been compliance counsel. Dorsky began his law career as a litigator. After a federal clerkship in New York, he worked with the ACLU to protect abused and neglected children in foster care. He then served in the United States Attorney's Office as a federal prosecutor, in both the Southern and Eastern Districts of New York, where he prosecuted a variety of criminal cases. He led significant prosecutions against organized crime and white-collar crime. Some of his more significant accomplishments include the successful prosecution of the bosses of two of the five crime families operating in New York City, as well as the successful resolution of an investigation into a large national retailer, which resulted in an $18M recovery of back taxes.

Frank Fiorille

Director of Enterprise Risk ManagementPaychex

 

Frank Fiorille is the director of enterprise risk management at Paychex, a leading provider of payroll, human resource, and benefits outsourcing solutions for small- to medium-sized businesses. The company has more than 100 offices and serves approximately 536,000 payroll clients and 12 million employees nationwide. Fiorille has 20+ years experience in risk management and credit and joined Paychex in 2002 to lead the company's initiative to build an enterprise wide risk apparatus. He was named as one of the 100 Most Influential People in Finance-Treasury & Risk Magazine in ‘08 and ‘09. His team received 7 individual Alexander Hamilton Awards over the past 4 years in Excellence in Risk Management, more than any other in that time frame. Before joining Paychex he spent four years with PNC Financial in Pennsylvania in their Corporate Credit Policy area overseeing various commercial and consumer risk units and reporting directly to the chief credit officer. Prior to PNC, he spent 12 years with Citigroup in New York holding various risk management and credit roles within their U.S consumer bank.

Neil Frieser

VP, Internal AuditFrontier Communications Corp.

 

Neil Frieser is vice president, internal audit for Frontier Communications Corporation, which is the nation's largest provider of communications services focused on rural America offering broadband, phone, satellite television, wireless Internet data access, PC security solutions and technical support, Internet-based television, carrier services, specialized bundles for small businesses and home offices, and advanced business communications for medium, large, and commercial businesses in 27 states. Previously he was vice president, internal audit for Warner Music and was responsible for managing Viacom's global Sarbanes-Oxley compliance function. Earlier in his career, he was chief financial officer for Simon & Schuster's medical publishing operations and an audit and transaction support manager with PricewaterhouseCoopers. Frieser has also authored multiple articles on corporate governance and compliance and serves on the board and as chair of the audit committee for a non-profit organization as well as the board of his local IIA chapter.

Greg Hahn

PrincipalCrowe Horwath

 

Greg Hahn is a principal that leads Crowe's regulatory compliance consulting practice. He has spent the last several years working with institutions that have been under enforcement action developing compliance programs and response strategies that integrate compliance and operations, and has managed some of the firm's largest client engagements. Hahn has led projects with multiple institutions that have successfully complied with enforcement action guidelines in the areas of corporate governance, enterprise-wide compliance, and anti-money laundering. He frequently speaks at national conferences and has conducted a number of online Webinars dedicated to the challenges and opportunities tied to developing a sustainable and effective compliance program. He has testified before the committee on financial services subcommittee on oversight and investigations on the topic of “Utilizing Technology to Improve TARP and Financial Oversight.” He also sits on the Bank Secrecy Act Advisory Group (BSAAG) IT subcommittee, representing the AICPA.

Louay Khatib

Chief Compliance OfficerAramark

 

Louay Khatib is chief compliance officer at ARAMARK. Reporting directly to ARAMARK's chairman and CEO, and to the company's audit and corporate practices committee, Khatib is responsible for overseeing ARAMARK's enterprise-wide compliance program. Khatib joined ARAMARK in 2005 from Ernst & Young, where he was a senior audit manager serving public, multi-national clients across a wide range of industries, both in the United States and overseas. While at Ernst & Young, he served in the firm's U.S. and U.K. audit practices, the firm's U.K. M&A practice, and in Ernst & Young's National Office as financial reporting manager of the U.K. firm. Khatib is a Certified Public Accountant and a U.K. chartered accountant. He is a member of the American Institute of Certified Public Accountants, the Pennsylvania Institute of Certified Public Accountants, and the Institute of Chartered Accountants in England and Wales

Edward Kowalcyk

Managing Director, Regional Head of Compliance, AmericasStandard Chartered Bank

 

Edward Kowalcyk is managing director, regional head of compliance, americas, for Standard Chartered Bank, based in New York. In this capacity, he has responsibility to provide support to all wholesale and consumer 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.

Donna Passal

VP, Internal AuditChildren's Place Retail Stores

 

Donna Passal oversees the internal audit function at The Children's Place, a leading specialty retailer of children's merchandise with over 1,000 stores and almost $1.7 billion in sales. She leads the review of various operational areas, coordinates the annual Enterprise Risk Assessment, ensures compliance with Sarbanes-Oxley requirements and is actively involved in governance and ethics activities. Passal has been with the company since 2006 and was previously the director of audit services at Office Depot.

John Rivera

Senior Manager, Risk AssurancePearson

 

John Rivera is senior manager risk assurance at Pearson. and in this capacity, he helps develop Pearson's ERM framework. He has been with Pearson's group internal audit since October 2005 where he managed the NY office as the senior audit manager, managing audits in the Americas and reporting to the head of group internal audit. In March of 2009 he was reassigned to the United Kingdom for 2 years to run the internal audit office there covering Europe, the Middle East, and Africa. His current role of senior manager risk assurance was created in March of 2011 for the purpose of developing an ERM framework at Pearson. Prior to Pearson, Rivera was at the Reader's Digest Association, where he held several financial management and auditing positions.

Ari Roy

Global Head of Enterprise Risk ManagementNokia Mobile Financial Services

 

Ari Roy has over 15 years of leadership experience in the financial services, telecom and other technology industries. His areas of responsibility for Nokia Mobile Financial Services include enterprise risk and global program management. Prior to taking a critical role in establishing Nokia's mobile financial services business, Roy held leadership positions in Nokia's corporate strategy and corporate business development teams. Prior to joining Nokia he held a key position in the corporate strategy team at Level 3 Communications. Roy also has previous experience as a management consultant with Bain & Co. where he served multiple technology and private equity clients. Early in his career he worked in telecom technology design and development as an engineer with Motorola Corporation.

Bill Watts

PrincipalCrowe Horwath

 

Bill Watts is a principal that leads Crowe's internal audit and Sarbanes-Oxley Services practice. He is responsible for internal audit, enterprise risk management, corporate governance, and anti-fraud services. Watts has over 20 years of experience working in both industry and public accounting. He focuses on helping corporate executives understand, identify, monitoring, and manage risks. His industry experience spans financial institutions, manufacturing and distribution, retail, insurance, energy, and other commercial enterprises. He has presented and published articles on corporate governance, internal audit, and risk and control assessments. Watts is a member of the American Institution of Certified Public Accountants and The Institute of Internal Auditors.