Speakers / Authors:
Stacey Babson-Smith joined Terex Corporation in October, 2002 as Corporate Counsel, HR Compliance. Ms. Babson-Smith was subsequently promoted to Vice President Deputy General Counsel, Employment & Global Diversity where her responsibilities included oversight of all labor and employment matters worldwide, employee health and safety, immigration and diversity. In this role, she also spent time working with and training Terex employees about conducting business responsibly. In March 2008, she was promoted to Vice President, Chief Ethics & Compliance Officer.
Ms. Smith was spotlighted in the September/October issue of Profiles in Diversity Journal as a “Woman Worth Watching” in 2011. In 1986, Ms. Babson-Smith began practicing law in New York and Connecticut based law firms. Her practice included representing management in labor and employment related litigation and advice counseling. Ms. Babson-Smith also taught labor relations as an adjunct professor for Baruch College, City University of New York, has been a speaker at conferences and co-authored several articles. Ms. Babson-Smith is a legal volunteer for the Pro Bono Partnership, a leading provider of free business legal services, educational workshops and other legal resources to nonprofit community-based organizations in the New York metro and Fairfield County Connecticut area.
Joel H. Katz
Joel H. Katz is Senior Vice President, Chief Counsel - Human Resources and Chief Ethics & Compliance Officer for CA Technologies ("CA"), one of the world's largest independent computer software companies. He serves as Lead Counsel to CA's Human Resources Department. In that role, Joel and his team provide advice and counsel on all employment-related legal matters. Mr. Katz and his team also provide legal support to CA's Corporate Real Estate function.
As Chief Ethics & Compliance Officer, under the oversight of the Compliance and Risk Committee of the Company's Board of Directors, Mr. katz serves as the Company's leading voice on compliance and ethics issues that arise in day to day business. He leads the team that creates and enforces all compliance-related policies and procedures globally and produces training and awareness materials covering compliance topics; manages the Company's Regional Business Ethics Councils consisting of approximately 25 Senior Business Leaders tasked with leading compliance and business ethics initiatives around the globe; oversees all compliance-related investigations and associated remediation; and, serves as the Company's leading voice and main evangelist on the importance of maintaining a strong ethical, compliance-based corporate culture.
Before joining CA, Mr. Katz was with the law firm of Maupin Taylor P.A. in Raleigh, North Carolina. His practice was devoted exclusively to representing management in labor and employment-related legal matters.
Mr. Katz is a member of the Connecticut, New York, North Carolina and South Carolina Bars. Mr. Katz received his J.D., with distinction, from Hofstra University School of Law where he was an Articles Editor for the Hofstra Labor Law Journal and his undergraduate degree from the University of Michigan.
Jeffrey M. Kaplan
Kaplan & Walker LLP
Jeffrey M. Kaplan is a partner in Kaplan & Walker LLP, a law firm with offices in Princeton, New Jersey and Santa Monica, California. He specializes in all aspects of assisting companies in developing, implementing, and reviewing corporate compliance and ethics programs - including conducting risk assessments, writing/editing codes of conduct and other policy documents, developing and delivering training, reviewing and developing compliance audit protocols and reporting systems, establishing compliance/ethics offices and advising boards of directors on meeting their fiduciary duties under the Caremark case. He has also assessed corporate compliance programs on behalf of government agencies and serves as a corporate monitor for a prosecutor’s office. His compliance program practice has included work for clients in the health care, life sciences, government contracting, insurance, manufacturing, energy, retail, paper, publishing, professional services, telecommunications, technology, securities, private investments, food and chemical fields. He also conducts internal investigations on behalf of boards and companies into allegations of wrongdoing brought by whistleblowers.
Mr. Kaplan is, together with Joe Murphy, co-editor of Compliance Programs and the Corporate Sentencing Guidelines: Preventing Criminal and Civil Liability (West 1993), a leading legal treatise on designing and implementing compliance programs. He has also published many articles and book chapters on compliance programs and is a regular speaker at compliance industry conferences. For many years he was counsel to the Ethics Officer Association (now the ECOA).
Mr. Kaplan is Adjunct Professor – Business Ethics, at the Stern School of Business, New York University, and is a member of the New York and New Jersey bars. Mr. Kaplan received his B.A., magna cum laude, Phi Beta Kappa, from Carleton College in 1976 and his J.D., cum laude, from Harvard University in 1980.
Elizabeth Weiss is Chief Compliance Counsel for Pfizer's global supply and manufacturing division ("PGS"). Ms. Weiss proactively assists PGS to achieve and maintain compliance with Company policies and laws by, among other things, providing guidance, identifying potential gaps and mitigation strategies, assessing risk, coordinating compliance diagnostics, proactive reviews, and integrations of acquisitions with manufacturing facilities. In her role, She works closely with Procurement, Finance, Audit, Legal, and others to ensure compliance. Her areas of focus are diverse, but include anti-corruption laws, cGMP, international trade, conflicts of interest, and general code of conduct issues. Ms. Weiss also chairs the PGS Compliance Committee.
Prior to starting her employment with Pfizer in 2010, she was an associate at Shearman & Sterling LLP in New York for 8+ years handling complex litigation and investigations. Prior to starting her legal career, Ms. Weiss worked in research & development, manufacturing, and quality control for various diagnostic and biotechnology companies.
Ms. Weiss earned her J.D., summa cum laude, from Seton Hall University School of Law, and a B.S. from Rutgers University.