Best Practices in Compliance and Enterprise Risk Management – Domestic and International Presenters: Laura Cortier Laura Cortier is a director in the Risk Advisory Services group of RSM McGladrey’s Great Lakes consulting practice. With more than 15 years of professional experience, primarily in the manufacturing industry, Laura provides internal audit and compliance services specializing in:
Conducting organization-wide risk assessments and developing one- to three-year audit plans aligned with an organization’s strategic objectives
Performing and directing risk-based internal audits in accordance with the International Standards for the Professional Practice of Internal Auditing
Internal auditing and the Foreign Corrupt Practices Act (FCPA)
Promoting best practices and facilitating process standardization
Conducting process assessments to identify opportunities to eliminate redundancies and optimize efficiencies
Fraud risk management
Sarbanes-Oxley
Laura serves as a national training resource on the IIA’s International Professional Practices Framework and co-led development of the firm’s methodology for providing internal audit services related to FCPA.
Her experience prior to joining RSM McGladrey includes:
Establishing an internal audit department, including strategic planning for staffing/sourcing and development of audit project methodology as director of internal audit at Coachmen Industries, Inc.
Quality assurance oversight of internal audits performed by a staff of six senior auditors as manager internal audit at National Steel Corporation
Laura’s presentations on internal audit and risk management related topics include:
Aligning Risk Appetite With Business Strategy – co-presented with Larry Rittenberg, PhD, CIA, CPA, Chairman of the Committee of Sponsoring Organizations of the Treadway Commission (COSO);
How to Conduct an Effective Risk Assessment & Audit; and
Managing Risk to Achieve Organizational Objectives
Professional Certifications and Affiliations Laura is a Certified Internal Auditor (CIA). As a member of the Institute of Internal Auditors, she has served the Michiana Chapter in various capacities including Secretary (2002-2004), Vice President & Secretary (2004-2005) and President (2005-2007). Laura currently sits on the Chapter’s Board of Governors. She is also a member of the Association of Certified Fraud Examiners and is currently working towards earning the designation of Certified Fraud Examiner (CFE).
Community Involvement Laura serves on the board of directors for CAPS (Child and Parent Services) of Elkhart County, a non-profit organization focused on the prevention of child abuse and strengthening families.
Education
B.S in Management (with specialization in Management Information Systems), Ball State University
M.B.A., Bethel College
Stephen E. Ifeduba Stephen E. Ifeduba currently serves as Corporate & Litigation Counsel for Glimcher Realty Trust, a real estate investment trust listed on the New York Stock Exchange. Stephen’s practice primarily focuses upon securities and corporate governance matters including compliance issues arising under the Sarbanes-Oxley Act of 2002 and Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, preparing and reviewing proxy statements, periodic and annual reports under the Securities Exchange Act of 1934, Section 16 insider reports, registration statements (and amendments thereto), and prospectus supplements under the Securities Act of 1933. His responsibilities also include coordinating board meetings and written consents for Glimcher and its affiliated companies, counseling the board of Glimcher Realty Trust and its committees, and preparing the minutes of board and committee meetings. Stephen is responsible for managing, coordinating, and overseeing all aspects of any commercial litigation involving the company on a nationwide basis. He also has experience in the licensing and regulation of security guard companies on a nationwide basis.
Nationwide Mutual Insurance Company – Columbus, Ohio Office of General Counsel May 2001 to April 2004 Practice involved addressing legal issues for more than 200 companies within the Nationwide corporate enterprise in the areas of corporate and securities law, equity and debt financing transactions, mergers and acquisitions and corporate governance. Experience includes:
Drafting and negotiating stock purchase agreements, merger agreements, and offering memorandum and prospectuses for corporate financing transactions;
Drafting Hart-Scott-Rodino submissions to the Federal Trade Commission and other prior approval applications (i.e., Form A, E, D, etc.) to state insurance departments;
Reviewing and drafting proxy statements, S-1, S-3, S-4, S-8s (including supplements to such filings) and Form 8-Ks, Form 10-Ks, Form 10-Qs for filing with the Securities and Exchange Commission;
Researching and addressing reporting and compliance issues that arise under the Sarbanes-Oxley Act of 2002; and
Researching and addressing reporting and compliance issues that arise under Section 16 of the Securities Exchange Act of 1934.
Baker & Hostetler LLP – Columbus, Ohio August 1997 to May 2001 Practice centered around corporate and securities law, mergers and acquisitions, bankruptcy/commercial law and real estate transactions. Performed legal research and writing on issues and questions covered under Chapter 17 of the Ohio Revised Code, the Bankruptcy Code, Uniform Commercial Code, Securities Act of 1933 and the Securities Exchange Act of 1934.
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Melissa Pence-Lavy Melissa Pence-Lavy is an experienced health care attorney and compliance professional. She currently holds the position of Ethics and Compliance Officer, Abbott Laboratories, with primary responsibility for the Abbott Nutrition Division. Melissa has also served as a legal regulatory and compliance attorney for five of Abbott’s medical products businesses and functioned as primary fraud and abuse counsel to Abbott Nutrition during its term under a Corporate Integrity Agreement. As Compliance Officer, Melissa helps Abbott navigate the complex regulatory framework of the pharmaceutical and medical device industry. She has assisted in development and implementation of a large scale compliance program for Abbott and its multiple businesses. Prior to joining Abbott, Melissa served as a health care compliance attorney at Porter, Wright, Morris and Arthur, LLP and provided advise to a variety of health care organizations and health care professionals on business and health care fraud and abuse issues. Melissa received a B.S. in Nursing from The Ohio State University and started her career as a labor and delivery nurse. This background has helped Melissa understand the medical field and health care environment. Melissa also received her J.D. at The Ohio State University.
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Sandra Rich Sandra Rich is Senior Vice President and Chief Compliance Officer for Nationwide Mutual Insurance Company. In this role, which she has held since February 2011, Sandy is accountable for compliance of all businesses within the Nationwide enterprise, including Nationwide’s property & casualty and life insurance businesses, its broker-dealers and investment advisers, and Nationwide Bank. Prior to being named Chief Compliance Officer, Sandy spent five years providing legal support to Nationwide’s investments, real estate, mergers and acquisitions and procurement professionals. Before joining Nationwide, Sandy was an associate in the Columbus office of the international legal practice Squire, Sanders & Dempsey. She also ran her own law practice from 1999-2003, focusing on business, real estate and employment matters. Sandy holds a B.S. in Political Science from the University of Akron and received her law degree from The Ohio State University College of Law. Nationwide, based in Columbus, Ohio, is one of the largest and strongest diversified insurance and financial services organizations in the U.S. and is rated A+ by A.M. Best. The company provides a full range of personalized insurance and financial services. We protect what is most important to our members in a trustworthy manner at a competitive price through our On Your Side® service.
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Mark Stach Mark Stach is the Assistant General Counsel of Ashland Inc. He has been a member of Ashland’s Law Department for 24 years, having positions of increasing responsibility during the tenure of his employment with Ashland. He graduated from the West Virginia University College of Law, where he was a member of the Order of the Coif and the West Virginia Law Review. He is also received his B.A. in Journalism from the University of Kentucky. He is the author of numerous publications, many of which deal with the intersection of and securities and environmental laws.
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