Wei L. Email & Phone Number

Austin, Texas, United States

Providing strategy and oversight to: Ethics & Compliance; Global Trade; Privacy; and ESG reporting teams.

Greater Chicago Area

- Recruited to support one of the largest food and drug retailers in the country (approximately 2300 stores/1700 pharmacies/290,000 employees/$77B annual revenue); designed a multi-year ethics & compliance strategy and currently leading the implementation of identified initiatives to enhance the company’s overall program.

Cleveland/Akron, Ohio Area

• Recruited to lead the Company’s global ethics and compliance program with oversight of Code of Conduct, enterprise risk management (ERM), anti-corruption, anti-money laundering (AML), anti-trust, trade & sanctions, business continuity, and investigative functions; reported directly to the General Counsel and managed a team of 20 compliance professionals, ensured elements of an effective compliance program are implemented for a NYSE-listed organization operating the world’s largest diamond jewelry retailer with over 28,000 global employees and $6B in annual revenue;• Led an assessment of the Company’s overall compliance risk profile; identified potential areas of compliance vulnerability and created a multi-year compliance plan to enhance the Company’s compliance program, which included not only program enhancements and policy development, but also a restructure of staff, priorities and budget;• Designed, recruited, and established a stand-alone investigations team tasked with reviewing “high-risk” allegations, including: discrimination, sexual harassment, financial improprieties/financial crimes, anti-corruption, and conflict-of-interest; ensured consistent recommendations and briefed senior management on sensitive investigations;• Ensured compliance with existing consent order with EEOC and settlement agreement with the CFPB; developed controls and processes to address enforcement concerns;• Conceived and implemented the Company’s in-house third-party due diligence program;• Administrator of the company’s hotline program; owner of the SOX control relating to the Company’s whistleblower program and responsible for identifying trends to senior level executives; • Oversight of the Company’s compliance training; ensured effective in-person and electronic training deployed to all employees; and• Counseled cross functional leadership team, including: HR; Internal Audit, Finance, IT, Marketing, Corporate Social Responsibility, and Sales Operations.

Pawtucket, Rhode Island

- Senior compliance counsel hired to reevaluate and upgrade Hasbro’s compliance strategy and provide oversight and management of Hasbro’s global compliance program; Company recognized as one of the world’s most ethical companies by the Ethisphere Institute during employ;- Developed, enhanced and drove the Company’s global compliance strategy by recommending appropriate programs, policies and business controls to senior executives; acted as primary compliance contact across various functional groups, (e.g. Internal Audit, Finance/Business Controls, Regional Legal, Sales/Marketing, IT and HR) to execute said strategy;- Assessed and prioritized global compliance risks; drafted policies, developed processes, established controls and counseled business groups regarding anti-corruption (Foreign Corrupt Practices Act [FCPA], UK Bribery Act, Brazil Clean Company Act, etc.), anti-trust, privacy, conflict-of-interest, anti-money laundering (AML), boycott and sanction (e.g. OFAC) requirements;- Ensured employee population received appropriate compliance training; collaborated with HR in creating a compliance on-boarding process for all new employees, on a global basis;- Created a due diligence process to review third-parties, including suppliers, acquisition targets, distributors, joint-ventures, licensees, and philanthropic partners; identified potential conflicts/red flags and, where appropriate, offered solutions to address those issues; - Conducted and directed sensitive investigations in various jurisdictions; preserved privilege, where available, and protected the Company’s interests; and- Reviewed various proposals and contracts; developed timely solutions and prevented illegal and unethical conduct.

Glenview, Il

- Member of the Company’s Global Compliance Committee; collaborated with a cross-functional group of senior executives to establish relevant agenda items for review and discussion;- Assisted with the Company's defense in the FCPA investigation initiated by the Securities and Exchange Commission; managed outside counsel and consultants in the review of the Company’s compliance program;- Assessed and prioritized global compliance risks; drafted policies and counseled business units regarding anti-corruption, anti-kickback, healthcare professional (HCP) interaction, anti-trust, and privacy regulations;- Oversaw the development of the Company’s Standards of Business Conduct; memorialized the Company’s ethical expectations;- Designed and implemented training programs to educate global employees on relevant compliance issues; ensured understanding of existing statutes and association membership obligations; and- Monitored the Company’s hotline complaints and chaired the Investigations Sub-Committee, which had oversight of corporate investigations; provided counsel and ensured consistent and timely completion of global investigations.

Deerfield, Il

- Managed and reviewed the implementation of the Takeda's Code of Conduct, Compliance Policies and Standard Operating Procedures; oversaw the company’s training programs;- Drafted the Company's initial Global Anti-Corruption policy; ensured compliance with domestic and international anti-corruption regulations;- Led compliance advisory board reviews; ensured compliance with existing guidelines;- Managed and reviewed domestic and international fair market value programs; authorized payments to HCPs; and- Monitored the Company’s ethics and compliance programs; managed the ethics hotline/helpline staff.

Chicago, Il

- Directed investigations involving allegations of improper or illegal employee activities, such as: bribery, kick-back, conflict-of-interest, retaliation, theft, fraud, improper hiring and prohibited political activity; ensured compliance with existing State and Federal laws and, if applicable, collective bargaining agreements;- Conducted extensive research concerning compliance, employment, administrative and jurisdictional laws; provided verbal and written counseling to State agency directors; and- Examined State agency and vendor programs; enforced the Illinois Ethics Act (Code of Ethics) and developed administrative recommendations to eliminate fraud, waste and mismanagement of State resources.

Northbrook, Il

- Led and consulted on-site investigations throughout the United States involving complex issues, such as: conflict-of-interest, embezzlement, retaliation, fraud and sexual harassment; resulted in the protection of company assets and the enforcement of Allstate’s Code of Ethics; and- Drafted and presented investigational findings and legal recommendations to senior Allstate corporate officers and law enforcement agencies; led to the successful termination and subsequent prosecution of several employees, insurance agents and outside vendors.

Jd

Activities and Societies: Associate Editor, DEPAUL’S BUSINESS & COMMERCIAL LAW JOURNAL; Member, Moot Court Honor Society.

Ba

Activities and Societies: Pi Sigma Alpha (National Political Science Honor Society)