Compliance with state, national and international regulations is a vital part of succeeding in business today. So is a robust enterprise risk management (ERM) system that proactively identifies, assesses and manages the wide range of risks facing complex organizations. The increasing complexity of regulations and policies can challenge the resources of even the most sophisticated business, and an enforcement action – or the threat of one – can have serious repercussions.
- Prepared code of business ethics and key risk compliance policies covering anti-corruption, insider trading, anti-money laundering, data privacy, government contracts and whistleblower procedures for domestic and international financial institutions, technology companies and global manufacturing firms.
- Directed enterprise-wide risk assessments for a global construction company and clients in other industries, including (i) conducting industry benchmarking to identify potential enterprise risk categories, (ii) identifying company-specific risks through employee interviews and internal and external data analysis, (iii) evaluating and prioritizing identified risks and (iv) developing risk monitoring and mitigation strategies for management and board adoption.
- Advised clients on the design and implementation of ERM frameworks—structured, consistent approaches for holistic, real-time identification, assessment, escalation and mitigation of enterprise-level risks across the organization.
- Advised clients across multiple industries on the design and implementation of subcontractor, supplier and other third-party due diligence, approval and monitoring protocols, with a focus on anti-corruption, anti-money laundering and responsible sourcing risk management.
- Conducted an internal investigation for an international construction company in connection with environmental compliance, quality control and billing issues and negotiated favorable resolution on behalf of the company with the DOJ.
- Conducted compliance risk assessment and management training regarding antitrust, export controls, sanctions compliance, anti-corruption and anti-money laundering for a Germany-based manufacturing company with operations in the U.S.
- Assisted cryptocurrency clients on a wide range of regulatory and compliance matters, including preparing and reviewing Bank Secrecy Act policies and procedures, drafting risk assessment analyses, advising on the applicability of FinCEN’s money transmission regulations, designing payment systems to qualify for the “closed-loop prepaid access” exemption and providing guidance on analyzing and drafting suspicious activity reports and state money transmitter license regulations.
- Developed anti-corruption internal assessment protocols and plans for a global energy company to assess compliance in high-risk jurisdictions.
- Assessed and optimized a financial institution’s global compliance on data privacy, government contracts, the Foreign Corrupt Practices Act (FCPA) and other regulatory compliance matters in connection with the firm’s appointment as monitor of a non-prosecution agreement between the DOJ and Mellon Bank N.A.
- Counseled clients in the national food and beverage sector and other industries on customs and tariff compliance matters and policy, including tariff classification, valuation, country-of-origin determinations, free trade agreements, penalty proceedings and duty-preference programs.
- Advised a global credit card brand on export control gap analysis and inventory in preparation for its establishment and implementation of a comprehensive export control compliance program.
- Represented specialty pharmacy companies, physician practice groups, hospice companies, government contractors and other organizations in various federal False Claims Act investigations, government enforcement actions, qui tam actions and internal investigations.
- Developed and audited corporate immigration compliance programs and policies, such as I-9, public access file compliance, business traveler, third-party placement, reimbursement agreements and permanent residence sponsorship.
- Represented numerous accounting firms in grand jury and SEC investigations involving both their preparation of tax returns and their audit practice.
- Developed and implemented EU General Data Protection Regulation (GDPR) compliance programs for numerous U.S. and international organizations, including GDPR applicability analysis, data mapping, data transfer mechanisms, consent mechanisms, the “right to be forgotten,” data security assessments, breach response programs, the selection of data protection officers and employee training.
- Developed Data Protection Impact Assessment tools designed to support U.S. and EU requirements to identify and mitigate risks associated with the use of automated decision-making.
- Provided a consortium of more than 40 companies with organizational advice centered on AI and related third-party consulting regarding data collection, information governance and use, algorithm development, IP ownership and licensing, data privacy and security impact, data lake development, data flows and the use of limited data sets, and de-identified data and algorithm application, as well as monetization considerations and related contracting.
- Represented more than 70 oil, gas and chemical facilities after major accidents or fatalities, including simultaneous response to agencies’ (Environmental Protection Agency; OSHA; Chemical Safety and Hazard Investigation Board (CSB); Bureau of Alcohol, Tobacco, Firearms and Explosives; National Transportation and Safety Board; Bureau of Safety and Environmental Enforcement; DOJ) investigations, leading privileged internal investigations, and preparing for regulatory, civil and criminal litigation defense. Also defended numerous CSB investigations.
- Appointed by the DOJ to serve as an independent examiner of the Bank of New York to monitor the bank’s procedures regarding suspicious activity, reporting practices and anti-money laundering, as well as its compliance with related laws and regulations, reporting directly to the Offices of the U.S. Attorneys for the Southern and Eastern Districts of New York, the Federal Reserve Bank of New York and the New York State Banking Department.
- Conducted FCPA-related internal investigation and enhanced internal anti-corruption and compliance protocols on behalf of a large U.S. defense contractor in connection with Russian resellers distributing its products to foreign government end users.
- Advised on strategic company planning and contracting guidance related to AI and advanced analytics dashboard development for an organization’s spinoff operations intersecting with cloud storage, data privacy and third-party responsibilities.
- Advised clients on requirements and strategies to comply with new U.S. state privacy laws requiring the right to opt out of automated decision-making affecting consumer and employee data-processing activities.
- Advised clients on the liability implications of providing generative AI tools to users, including Digital Millennium Copyright Act platform safe harbor protections and contractual limitations.
- Regularly advises U.S. and foreign companies on complex jurisdictional, classification, filing, licensing, compliance and enforcement matters relating to the Export Administration Regulations, the International Traffic in Arms Regulations, the Committee on Foreign Investment in the United States regime and other U.S. trade, economic sanctions and national security-related laws and regulations.
- Regularly counsels clients related to federal and state wage and hour issues (including the calculation of pay and overtime; meal and rest periods; tip reporting, tip pools and the application of tip credits; service charges and administrative fees; off-the-clock work; travel time; rounding practices; wage deductions; the misclassification of employees; independent contractors; interns; and other wage laws), thereby avoiding wage and hour claims. Notably, provides strategic counsel and representation regarding city and state sick and family leave laws.
