law, compliance, investigations, risk management, board experience

Brian T. Moffatt

*********@***************.*** 713-***-****

SUMMARY:

Seasoned business professional experienced at managing legal and compliance risks in domestic and international settings, while ensuring that operational objectives stay on track. Interacts effectively with Boards of Directors and C-Suite management, as well as operations and administration staff at all levels. Has mature business judgment and provides sound legal advice with clear understanding of business objectives. Expertise in business structures and governance, internal controls, legal documentation, ethics and compliance, investigations, litigation, dispute resolution, and data privacy. Familiarity with financial reporting, labor and employment issues, M&A, QHSE, Intellectual property, trade regulation, and crisis management.

Excellent communicator with public presentation experience in North America, Europe, Asia, and the Middle East. Training presentations, due diligence, audits, and investigations in over 40 countries on six continents.

Former Federal Prosecutor and managing partner for national law firm's Texas office.

A/V rated by Martindale-Hubbell.

EXPERIENCE:

CEO and Managing Partner, Moffatt Law Group

Represent public and private companies on a variety of matters, including business formation, transactions, and expansions, risk identification and mitigation, compliance program development, internal policies, controls and procedures, internal and external investigations, and litigation management. Work closely with boards of directors and senior management on matters of corporate governance, risk management, and business direction. Appointed as interim corporate officer for several clients.

As contract compliance counsel, created code of conduct and complete global ethics and compliance program for a private domestic client owned by two large European companies. Initiated systems to receive, investigate, and resolve reports of actual or potential incidents of non-compliance. Produced in-person, online, and video compliance training, with delivery to 90% of all employees worldwide. Conducted confidential and highly sensitive investigations of Vice-Chairman, General Counsel and Head of Cybersecurity. Recommended responsive actions in each instance, all of which were implemented by management.

As external Chief Ethics and Compliance Officer, devised comprehensive ethics and compliance risk mitigation program for the Board of Directors of a private company with operations in a high-risk South American country, and enhanced policies and processes to address mounting risks and changing sanctions orders, protecting company officials from threats abroad and in the United States.

As external Chief Compliance Officer, implemented multi-level ethics and compliance control program for Board of Directors of a public company with new business in a high-risk West African country, and trained corporate officials and government officials in the target country how to follow the controls and prevent legal repercussions in the host country or in the United States. Implemented robust third-party due diligence system to reduce compliance risks.

Assisted internal foreign corruption investigation of a Fortune 500 U.S. public company.

Real estate representation of various clients on determination of property rights, interpretation of applicable ordinances and zoning regimes, commercial and residential transactions, subdivision development, construction contracts, lease negotiations, title issues, and resolution of disputes.

Federal and State litigation practice. Hired as consulting and testifying expert witness.

Chief Compliance Officer, Pride International/Ensco plc

Senior officer in Fortune 500 company responsible for establishing and implementing a global ethics and compliance program to manage corruption risks. Worked closely with full Board of Directors, Audit Committee, and senior management to set business goals and manage their implementation in a risk-minimized manner. Examined and utilized best practices to build an organizational infrastructure. Developed programs taking into account multiple diverse views and needs of other stakeholders, and trained employees worldwide on applicable rules and controls to deal with cultural and geographic risks. Initiated and managed worldwide issue reporting and response mechanism to solicit employee input and improve management programs. Performed investigations, audits, due diligence, and training in multiple countries on six continents.

Worked with management on SEC disclosures and crisis management, and chaired corporate committees on data security, helpline management, and ethics and compliance program. Frequent international speaker on numerous topics of interest to company.

Engaged in sensitive and complex negotiations with U.S. Department of Justice to favorably resolve pre-existing governmental investigation and obtained the only early termination of a Deferred Prosecution Agreement in the history of the FCPA.

Invitational public speaking engagements at approximately 40 seminars in North America, Europe, Asia and the Middle East.

Received Corporate Secretary Magazine’s Award for Best Overall Governance, Ethics and Compliance Program.

Senior Counsel, Baker Hughes, Inc.

Joined company during an ongoing FCPA investigation. Assisted outside investigating counsel in interviewing suspected wrongdoers within company. At the direction of the Board of Directors, created Compliance Audit program and conducted audits of the company’s worldwide inventory of commercial agents in over 30 countries on five continents. Conducted compliance investigations and due diligence worldwide.

Developed and/or revised major portions of the company’s ethics and compliance program, including policies and procedures relating to third party due diligence and management, conflicts of interest, hospitality, gifts and entertainment, compliance training, issue reporting and response, and agent commission payment review.

Conducted compliance audits with Compliance Monitor in eight countries in Africa, South America, Asia and the Middle East.

Assistant United States Attorney, U.S. Department of Justice

Investigated, prosecuted, and tried civil and criminal cases for the U.S. Government, including discovery, legal research, legal briefs, pleading, depositions, motions, opinions, correspondence and legal memoranda. Conducted jury and bench trials, direct and cross examination of witnesses, negotiations with opposing counsel, and appeals. Specialty areas included bank fraud, Bank Secrecy Act, corporate and other white-collar financial fraud, money laundering, sanctions violations, and asset forfeitures.

Worked closely with special agents and supervisors of the FBI, Secret Service, DEA, IRS, Customs and Postal Service. Held Top Secret security clearance.

Faculty member for Department of Justice courses providing in-depth training to FBI and IRS agents, and prosecutors on how to recognize, investigate and gather evidence to prosecute financial crimes, money laundering and asset forfeiture cases.

Executive Committee, Board of Directors, San Antonio Mastersingers – non-profit arts organization.

Board of Directors, Kendall County Bar Association – non-profit professional organization.

MILITARY:

Served on active duty in United States Air Force as a Mandarin Chinese linguist/interpreter. Top Secret + security clearance. Honorable discharge.

EDUCATION:

J.D., University of Texas

B.A., Centenary College of Louisiana

MEMBERSHIPS:

State Bar of Texas

International Law Section, Council Member

International Association of Drilling Contractors

Co-Chair, Ethics & Compliance Committee

San Antonio Bar Association, Co-Treasurer, Vice-Chair, International Law Section

Kendall County Bar Association, Board of Directors

National Association of Realtors

Texas Association of Realtors

San Antonio Board of Realtors

Contact this candidate