On March 24, Compliance Week and ProcessUnity presented an editorial roundtable at the Waldorf-Astoria Hotel in New York City. The focus of the roundtable was on systematic vendor risk management. Attendees’ full biographies are below.
Chief Compliance OfficerKnights of Columbus
William Brown joined the Knights of Columbus as chief compliance officer in December 2010. As CCO, Brown operates within the legal department and reports directly to the chief executive officer and the audit committee of the board of directors.
Between 2000 and 2010, Brown served as both an assistant United States attorney and assistant attorney general in Connecticut, prosecuting a variety of state and federal criminal and civil cases.
Since 1992, he has served as a judge advocate in the U.S. Marine Corps and currently holds the rank of colonel in the U.S. Marine Corps Reserve.
Anti-Corruption Compliance LeaderGE Capital
Luke Brussel leads GE Capital’s global anti-corruption compliance program. As the anti-corruption compliance leader for GE Capital, a company with over $500 billion in assets, approximately 50,000 employees, operations in over 50 countries, and with products covering energy, healthcare, aviation, real estate, and equipment finance, Brussel has driven enhancements to the company’s risk assessment and risk management processes and redesigning the company’s anti-corruption controls framework to more closely and effectively address the company’s distinct risk profile. He has also led the development of anti-corruption monitoring procedures of high risk expenditures and developed metrics/program reporting for application across all General Electric Co. businesses globally.
Prior to joining GE in 2014, Brussel served as chief compliance officer of Cengage Learning, a leading global educational products and services company (formerly a part of Thomson Reuters), where he initiated, developed, and managed the company’s corporate compliance program for anti-corruption, government contracting and trade controls compliance, corporate governance, and securities risks, and prior to being named CCO, served as corporate counsel.
Chief Audit ExecutiveEndurance
David Camputo is the EVP, chief audit executive for Endurance Specialty Holdings and has global responsibility for internal audit and Sarbanes-Oxley compliance. Camputo is a member of the executive operational group, risk management committee, and the disclosure committee reporting directly to the chairman of the audit committee of the board of directors and functionally to the chairman of the board of directors and CEO of Endurance Specialty Holdings.
Chief Compliance OfficerAssurant Inc.
Jay Cohen is senior vice president and chief compliance officer, at Assurant, a premier provider of specialized insurance products and related services in North America and selected other markets. Cohen joined Assurant in August of 2008. He began his legal career in 1976 as an assistant district attorney in Brooklyn, NY, and spent twenty years in New York City and State government. Prior to joining Assurant, he served in compliance leadership positions in the financial services, healthcare and information services industries and also had his own compliance consulting practice. He is a member of the New York State Bar, as well as a member of the Editorial Board of the Society for Corporate Compliance and Ethics. He is also a member of the Executive Committee, Board of Directors, of the George Washington University Alumni Association.
VP, Field OperationsProcessUnity
Sean Cronin leads ProcessUnity’s sales, customer implementation, and support functions. He brings over 12 years of governance, risk, and compliance (GRC) experience to the company. Throughout his career, Cronin has been on the front-line working with clients, developing people, and building teams. Prior to joining ProcessUnity, he was global vice president of client operations and pre-sales for the Risk Segment at Thomson Reuters Corp. Previously, he was the senior director of covernance, risk, and compliance within the Application Strategy Group at Oracle. Cronin joined Oracle through the acquisition of Stellent, a global provider of content management solutions, where he led sales efforts for the compliance applications. Prior to Stellent, he led pre-sales operations at OpenPages, an early vendor in the GRC space.
Corporate Chief Compliance OfficerGuardian Life Insurance
Pete Feeley currently serves as the corporate chief compliance officer for The Guardian Life Insurance Co. of America. In this capacity, Feeley is responsible for strategy setting and oversight of all of Guardian’s compliance and business ethics program activities and initiatives, as well as providing guidance to the board and senior management team on compliance-related matters. Previously, he was the interim general counsel/senior vice president, business law and compliance for Lincoln Financial Group where his responsibilities included advising the CEO and his management team, as well as the board and audit committee, on a broad range of legal, regulatory, compliance, and public policy issues. Earlier in his career, Feeley held a variety of senior business, attorney, and compliance roles at Prudential Financial, including chief operations officer for the company’s law, compliance, and business ethics department. In that capacity, he was responsible for coordinating the company’s compliance plan submissions to the audit committee and the United States Attorney’s Office.
Prior to joining Prudential, he was attorney lawyer in private practice where he represented corporate clients on a variety of regulatory and litigation matters. Feeley is admitted to practice before the New Jersey and Pennsylvania state bars, as well as United States District Court for the District of New Jersey. He also previously held Series 6 and 26 FINRA registrations.
Chief Compliance Officer, Group Insurance DivisionPrudential
Noreen Fierro is responsible for maintaining GI’s compliance program and serves as the focal point for all compliance activities within the organization. Most recently, she served as corporate counsel in Prudential’s Enterprise Regulatory Law Group, providing legal advice on a variety of regulatory topics impacting the global organization. While there, she served as primary counsel for anti-corruption regulations, including the Foreign Corrupt Practices Act (FCPA), and was the primary contact for State Attorneys General. Fierro joined
Prudential’s corporate compliance organization in 2006 where she served as the anti-money laundering officer for Prudential’s domestic insurance companies, broker dealers, and mutual funds. In that role she was responsible for managing the day-to-day compliance obligations related to anti-money laundering (AML), and Office of Foreign Assets Control (OFAC). In January 2007, she assumed responsibility for Prudential’s global compliance program related to the FCPA and spearheaded efforts to enhance Prudential’s FCPA compliance procedures. While serving in these roles, Fierro also oversaw the implementation of legal controls to streamline Prudential’s approach to these regulatory areas across the company’s diverse, global business operations. She was also responsible for compliance oversight of Prudential Real Estate and Relocation Services Inc. Prior to Prudential, Fierro worked as a senior manager for Deloitte Financial Advisory Services. She has also worked for UBS Financial Services Inc. as legal counsel to the company’s money laundering prevention group. She is a member of the Association of Certified Anti-Money Laundering Specialists, the American Bar Association, is a frequent speaker on the topics of AML, OFAC, and FCPA compliance, and a published author on the topic of FCPA compliance.
Chief Ethics & Compliance OfficerRealogy Holdings Corp.
Elisabeth Gehringer is chief ethics and compliance officer of Realogy Holdings Corp., a global leader in real estate franchising. As CECO, Elisabeth develops a lawful and respectful work environment for employees and one that positively impacts the business. She builds and implements appropriate legal and ethical conduct standards and procedures for Realogy's interactions with its customers, suppliers, vendors, franchisees, and affiliated real estate agents. Gehringer has created a risk-based ethics and compliance program that includes ethics matter management and reporting, employee engagement and training, information management, data privacy, conflicts management, fraud deterrence and investigation, corruption prevention, business partnering, board reporting, and workplace violence prevention.
Under her leadership, Realogy was recognized by Ethisphere Institute, a leading international business ethics think tank, as one of World’s Most Ethical companies four years running (2012 to 2015), andshe served on the Ethisphere Institute 2014 Global Ethics Summit Advisory Board. She has spoken at industry events, most recently for the NYSE Governance Services and at the Global Ethics Summit. She was honored to have received a NJBiz Forty Under 40 Award.
Gehringer joined Realogy’s predecessor company in 2004, and has held compliance and additional leadership roles, including general counsel of the Realogy Franchise Group. Prior to joining Realogy, she handled litigation and provided business counsel to various clients of Porzio, Bromberg & Newman, P.C., and she worked in sales and marketing at Ford Motor Co. Gehringer is a member of professional organizations including the CEB Compliance and Ethics Leadership Council, the Ethics and Compliance Officer Association, the Society of Corporate Compliance and Ethics, the International Association of Financial Crimes Investigators, and the National Association of Corporate Directors.
Chief Compliance & Ethics OfficerVoya Financial Inc.
Michael Gioffre has served in his current capacity for two years. He is responsible for the ongoing development, management, and delivery of the compliance and ethics function for Voya Financial (formerly, ING U.S.). Gioffre began his career in AIG’s law department, where he acquired well-rounded insurance and securities law experience. He later joined Aeltus Investment Management Inc., where he served in a number of law and compliance capacities. Following ING’s acquisition of Aeltus, Gioffre became the CCO for ING U.S. Investment Management, a role he filled for over a decade.
VP Ethics & ComplianceACE
Christopher Zentner is an expert on insurance industry compliance oversight and regulator relations, having held responsible positions at AIG, Travelers, and AmTrust, and most recently with global responsibility as a deputy chief compliance officer at the ACE Group. He has been engaged in post-financial crisis compliance program development, championing the adoption of best practices, including use of enterprise risk management methodology, for the advancement of corporate ethics and compliance programs within the industry. He is a member of the Society for Corporate Compliance and Ethics and the Association of Insurance Compliance Professionals, and is based in New York City.