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Internal Investigations In The Era Of COVID-19

Level: Advanced
Runtime: 61 minutes
Recorded Date: October 30, 2020
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  • Overview
  • Conducting Internal Reviews
  • When Internal Investigations are Delayed
  • Carrying Out Internal Investigations during a Pandemic
  • Q & A
Runtime: 1 hour
Recorded: October 30, 2020


COVID-19 has created a myriad of issues, some of which have led to internal investigations. As the GC, it is your responsibility to navigate internal investigations. So, what does that look like? What are the dos and don'ts? Join this session as our experts consider how COVID-19 has impacted internal investigations, highlight the role technology has to play in the "new normal", and walk through the key steps to ensure your corporation runs effective and compliant internal investigations.

This program was recorded as part of Corporate Counsel's Women, Influence, and Power in Law Virtual Conference held on October 30th, 2020.

Provided By

Women, Influence & Power in Law Conference
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Kim Reilly

Vice President & Associate General Counsel
Raymond James Financial

Kim Reilly is Vice President and Associate General Counsel at Raymond James Financial, representing the Firm in regulatory enforcement matters before FINRA, the SEC, and other regulators. She also leads internal investigations of matters having a potential regulatory component.

A graduate of Fordham University Law School, Kim practiced at law firms in New York City before joining Raymond James in 2015. She has over 17 years of experience in industry-related regulatory enforcement, litigation, and internal investigation matters. Kim has a B.A. from William & Mary and an M.A. from the University of Richmond. She is a member of the New York bar.

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Diana Maltzer

Compliance Counsel

My responsibilities are global, as part of a global Legal team. My work includes internal investigations in partnership with Internal Audit, managing workflows including conflicts of interest disclosures and due diligence of business partners, and working with, and developing and presenting training for, internal business partners regarding risk management.

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Susan Markel

Managing Director
AlixPartners, LLP

Susan oversees matters involving corporate financial reporting, regulatory investigations, whistle-blower actions, Foreign Corrupt Practices Act (FCPA) enforcement, and internal controls. Formerly at the US Securities and Exchange Commission (SEC), she served as chief accountant of the enforcement division.

She has a Bachelor of Science in accounting from the University of Akron, is a CPA and certified in financial forensics. Susan has received several awards including the SEC’s Distinguished Service Award in 2006 and The National Law Journal's 2014 "Governance, Risk and Compliance Trailblazer and Pioneer". She is a speaker nationally and internationally on public reporting and accounting related to financial fraud investigations and other enforcement actions involving the SEC and other government entities.

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