Compliance

Overview

Compliance with state, national and international regulations is a vital part of succeeding in business today. 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. Our interdisciplinary group is prepared to address the myriad of compliance issues with a holistic approach covering risk assessment, prevention and implementation, and resolution. We have in-depth knowledge and experience in developing compliance programs specifically tailored to each client, designed to help prevent corporate officers and employees from engaging in illegal practices such as bribery, collusion, money laundering and fraud. We benchmark the U.S. Department of Justice (DOJ) sentencing guidelines and other guidance to develop strong compliance programs.

This nationwide team has a presence in key U.S. commercial centers and includes dozens of former high-ranking regulators, prosecutors and investigatory officers from critical agencies at the state and federal levels, including the DOJ, the Securities and Exchange Commission, the Federal Trade Commission, the Department of the Treasury and the Department of Commerce. We regularly advise on a broad range of compliance matters, including:

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Our team members have extensive experience in:
  • Assessing the compliance risks associated with particular business activities
  • Establishing and reviewing compliance programs
  • Advising management, boards and compliance committees
  • Conducting sensitive internal and external compliance assessments and investigations
  • Managing whistleblowers
  • Addressing substantive claims of non-compliance
  • Defending retaliation claims from employees, including those investigated by OSHA and industry specific claims Conducting and managing complex monitorships
  • Resolving government investigations and private litigation
  • Reviewing and establishing guidance for third-party contractors, including labor standards and anti-slavery laws

Essential to our practice are identifying specific industry-focused issues and providing solutions tailored for the client’s size, sophistication and industry, as well as assisting with training and implementation, including monitoring and assessing compliance metrics. We represent dozens of industries of all sizes across the country and overseas, including partnering with the in-house compliance departments of several Fortune 50 companies. Our goal is always to provide exceptional service and counseling while minimizing the risk of criminal or regulatory enforcement, adverse publicity, reputational harm or whistleblower retaliation claims.

Select Experience

  • 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.
  • 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.
  • Conducted compliance risk assessment and management training regarding antitrust, export controls, anti-corruption and anti-money laundering for a Germany-based manufacturing company with operations in the United States.
  • Developed anti-corruption internal assessment protocols and plans for a global energy company to assess compliance in high-risk jurisdictions.
  • Developed and implemented EU General Data Protection Regulation (GDPR) compliance programs for numerous US and international organizations, including GDPR applicability analysis, data mapping, data transfer mechanisms, consent mechanisms, “right to be forgotten,” data security assessments, breach response programs, selection of Data Protection Officers, and employee training.

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Professionals

Name Title Office Email
Partner Washington, D.C.
Partner Washington, D.C.
Partner Cleveland
Partner Cleveland
Partner New York
Partner New York
Partner New York
Partner New York
Associate Cleveland
Partner New York
Partner Washington, D.C.
Partner Columbus
Partner Philadelphia
Partner New York
Counsel New York
Partner New York
Partner Cleveland
Partner New York
Counsel New York
Partner Washington, D.C.
Partner Cincinnati
Partner New York
Partner Cincinnati
Associate New York
Partner Columbus
Partner New York
Partner Washington, D.C.
Partner Cleveland
Partner New York
Partner Washington, D.C.
Partner New York
Partner Washington, D.C.
Partner Atlanta
Partner Washington, D.C.
Partner New York
Partner Columbus
Partner New York
Counsel Houston
Partner New York
Counsel New York
Partner Cleveland
Partner Los Angeles
Partner Cleveland
Partner Los Angeles
Partner Houston
Partner Washington, D.C.
Partner Washington, D.C.
Partner Washington, D.C.
Partner New York
Partner New York
Partner New York
Partner Washington, D.C.
Associate New York
Partner New York
Partner Houston
Partner New York
Partner Houston
Partner Atlanta
Partner New York

Experience

  • 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.
  • 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.
  • Conducted compliance risk assessment and management training regarding antitrust, export controls, anti-corruption and anti-money laundering for a Germany-based manufacturing company with operations in the United States.
  • Developed anti-corruption internal assessment protocols and plans for a global energy company to assess compliance in high-risk jurisdictions.
  • Assessed and optimized a major bank’s global compliance on data privacy, government contracts, 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.
  • 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.
  • Appointed by the DOJ to serve as 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 large U.S. defense contractor in connection with Russian resellers distributing its products to foreign government end users.
  • Developed and implemented EU General Data Protection Regulation (GDPR) compliance programs for numerous US and international organizations, including GDPR applicability analysis, data mapping, data transfer mechanisms, consent mechanisms, “right to be forgotten,” data security assessments, breach response programs, selection of Data Protection Officers, and employee training.

Recognition

  • Chambers USA: Nationwide Privacy & Data Security (2013 to 2018)
    • Chambers USA Privacy and Data Security- Healthcare Spotlight Table (2018)
  • Chambers USA: Intellectual Property
    • Georgia (2018)
      • Band 4
    • Ohio (2018)
      • Band 2
    • Pennsylvania (2018)
      • Band 1
    • Recognized Practitioner: Intellectual Property Litigation in District of Columbia (2018).
    • Recognized Practitioner: Intellectual Property Patent Prosecution in District of Columbia (2018).
    • Recognized Practitioner: Intellectual Property Trademark, Copyright & Trade Secrets in New York (2018). 
    • Recognized as one of the top law firms for client service, we were named to the 2018 BTI Client Service 30 for the fourth consecutive year.
  • Chambers USA: Healthcare
    • Florida (2018)
      • Band 4
    • Georgia (2015 to 2018)
      • Band 3
    • Ohio (2011 to 2018)
      • Band 3
    • Texas (2009 to 2018)
      • Band 3
    • Recognized Practitioner in Florida (2016, 2017)
    • Recognized Practitioner Nationwide (2017)
    • Recognized Practitioner Healthcare: Pharmaceutical/Medical Products Regulatory in District of Columbia (2018)
  • Chambers USA: Tax
    • District of Columbia (2010 to 2018)
      • Band 3
    • Recognized Practitioner: Nationwide Tax: Controversy (2014 to 2018)
  • Chambers USA: Litigation: General Commercial
    • Ohio (2007 to 2018)
      • Band 2
    • Recognized Practitioner in Florida (2014 to 2018)
  • Chambers USA: Natural Resources and Environment 
    • Natural Resources & Environment in Ohio (2007 to 2017)
    • Recognized Practitioner: Natural Resources & Environment in Colorado (2014 to 2018)
    • Recognized Practitioner: Environment in the District of Columbia (2015 to 2018)
    • Recognized Practitioner: Environment in Florida (2015 to 2018)

Key Contacts