On Sept. 15, Compliance Week and Workiva presented an editorial roundtable at the Hyatt Regency in Orlando. The focus of the roundtable, which was moderated by Compliance Week Editor Matt Kelly, was on compliance collaboration to drive ERM. Attendees’ full biographies are below.
EVP, Chief Compliance OfficerBank United
Marie Blake joined BankUnited in 2013 as EVP, chief compliance officer. Her responsibilities include regulatory compliance, privacy, enterprise complaint management, fair lending, and community reinvestment. Prior to her role with BankUnited, Blake held senior management positions in compliance and operational risk at Regions, Bank of America, and Wells Fargo. She has over 16 years of banking experience that includes compliance and operational risk management in retail banking, small business lending, commercial banking, specialty lending, indirect lending, credit card, private banking, and product delivery channels. Blake’s expertise extends to developing and implementing enhanced risk practices and processes that enable financial institutions to efficiently and effectively identify and manage compliance and operational risk exposures.
Senior Associate Counsel, Ethics & ComplianceDarden Restaurants
Lindsay Koren is the senior associate counsel, ethics & compliance for Darden Restaurants. Previously, she served as a senior director for international employment compliance and as an assistant general counsel supporting Walmart on global employment and compliance matters. Prior to joining Walmart, Koren was an attorney with Dinsmore & Shohl in Cincinnati, where she counseled domestic and international clients on immigration and employment issues. Koren also served as an adjunct professor at the University Of Dayton School Of Law. Additionally, she served as a trial attorney with the U.S. Department of Justice, representing the government in appellate litigation matters. Koren joined the Justice Department through the Attorney General Honors Program, and she served as attorney adviser to the chief immigration judge. Koren is admitted to practice in Ohio and Maryland, as well as before the Southern District of Ohio, and the U.S. Courts of Appeals for the First, Second, Fourth, Eighth, and Ninth Circuits.
Senior Manager, Risk & ComplianceCHEP North America
George Lewis is currently the senior manager, risk & compliance for CHEP North America.
SVP & Chief Compliance OfficerImpax Laboratories
Deborah Penza joined Impax Laboratories Inc. in May 2015 as the company’s senior vice president and chief compliance officer. Penza has over 20 years of experience as both a consultant and a compliance professional implementing and operating compliance programs in the healthcare industry. She is responsible for the development, implementation, and oversight of Impax’s corporate compliance program. Penza joined Impax from Actavis (now Allergan), where she was chief compliance officer. Prior to joining Actavis, she served as the vice president, corporate compliance for Elan Corp., where she led the company’s global ethics and compliance program. Before joining Elan, she was a vice president of Strategic Management Systems Inc., where she developed and implemented compliance programs for healthcare clients and provided guidance on compliance program management.
VP, Internal Audit & ComplianceCSX Corp.
Bryan Rhode is currently CSX’s vice president of internal audit and compliance. Rhode joined CSX in 2014 as regional vice president for government and community affairs for the mid-Atlantic region. Prior to joining CSX, Rhode served as Virginia secretary of public safety, where he provided oversight for 11 state agencies and advised the governor on public safety policy issues. Rhode also previously served as deputy secretary of public safety and as commissioner of the Department of Alcoholic Beverage Control. Rhode previously worked as an associate corporate attorney and served as an assistant Commonwealth’s attorney in Richmond.
Senior Manager, Head of ICFR, SOX and ERMFiat Chrysler Automobile
Craig Roshak is the head of ICFR, SOX and ERM for Fiat Chrysler Automobile.
Director, Corporate ComplianceSeaWorld
Michelle Scott is the corporate compliance director for SeaWorld Parks & Entertainment in Orlando. Scott leads a team in executing internal control solutions, enforcing company policies, ensuring compliance with key financial regulations, and managing fraud risk. She is also president of MDS Auditing and Consulting Services, which provides course content for internal auditing seminars. As president, she teaches internal auditing seminars for audit leaders across the country and counsels audit associations on course development. Topic areas include both SOX and COSO 2013. Previously, Scott was the director of research and development for The Institute of Internal Auditors Research Foundation in Altamonte Springs, Florida. In her role within the Research Foundation, a 501c3, she led large-scale internal audit research projects, including the 2010 Common Body of Knowledge study, and she led the foundation’s fundraising activities, which included oversight of a $1 million dollar budget. She also wrote and published research reports on emerging issues for practicing internal audit professionals around the world. Scott began her auditing career in Arthur Andersen’s business process risk consulting practice which later became Protiviti.
AVP, Compliance Data Analytics ManagerBankUnited
Aaron Sundquist joined BankUnited in 2013. His responsibilities include data analytics related to regulatory compliance risk and controls, issue management, fair lending, and community reinvestment. Prior to his role with BankUnited, Sundquist worked at the International Monetary Fund facilitating national risk assessments with local authorities in Latin America, Asia, and the Balkans. Sundquist’s expertise extends to developing and implementing data-driven solutions that assess and manage risk, reduce uncertainty, and drive optimal business decisions.