Ethics & Compliance Initiative


Ethics & Compliance Initiative
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  • Kate Schulze
    Kate Schulze
    Senior Vice President, Chief Ethics Officer, and Deputy General Counsel, Transamerica Life Insurance Company

    Kate Schulze, ,CCEP, CCEP-I, LPEC, is experienced with handling complex legal and regulatory matters in the financial services industry. Kate is skilled in strategic thinking and problem solving.; and is respected by regulators, colleagues, auditors and company, industry and community leaders as a person of integrity. Quickly assimilate ideas, facts, standards, analyze industry requirements and apply them to provide practical business solutions, Kate is able to see the “big-picture” and get “into the weeds” when necessary. Among her many skills, Kate bring clarity out of complexity; inspires and leads teams to develop, meet or surpass goals; and possesses broad expertise in Securities, Broker-Dealer, Investment Advisory, Fund, Insurance and AML laws and regulations.

  • Neha Gupta
    Neha Gupta
    Chief Executive Officer, True Office Learning

    Neha is responsible for True Office Learning’s product and technology vision, strategy and growth. Prior to her role as CEO, Neha served as Senior Director of Learning Solutions & Strategic Initiatives at NYSE Governance Services, leading all product strategy and development initiatives for the business. Neha has also served as Citigroup’s Chief of Staff for the Institutional Clients Group Technology organization, reporting directly to the CIO. In her time with Citigroup, Neha led a number of strategic change management efforts involving critical, multi-million dollar initiatives across industries.

    Neha holds an MBA in Management and Business Strategy from Rutgers Business School and a BE in Computers and Electrical Engineering from the Honors College of Engineering at Rutgers.

  • Tracey N. Miller
    Tracey N. Miller
    Director, Ethics & Compliance Office Operations, Proctor & Gamble

    Tracey Millerr, CCEP, CFE, is a Director in the Ethics & Compliance Office of Proctor & Gamble. She has governance oversight for all investigations, and is responsible for senior-level management reporting, P&G’s anti-retaliation program and code of conduct. A graduate of the University of Notre Dame, Tracey has been with P&G for 23 years. She is married and has three children.


Live Webcast

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Oct 13 2020


2:00 pm - 3:00 pm



ECI Live | October 13 | How to Prevent Bias from Eroding Confidence in Your E&C Program

Cognitive biases are the unconscious drivers that influence our judgments and decision making. Biases help us get through the day without being overwhelmed by information. The downside to biases is the potential for prejudice to become hard-wired into the brain. They can relate to the way that we remember an event, perhaps due to the emotional content of the event, and that in turn can lead to biased thinking and decision making.

This webinar will cover the findings of ECI’s Unconscious Bias working group, where biases can be found and how it affects E&C programs in organizations across the world.

In this webinar you will learn:

  • What implicit/unconscious bias is;
  • The SEEDS model of mitigating unconscious bias;
  • Best practices in training on unconscious bias; and
  • How unconscious bias impacts investigations and how to prevent it.

Related Document: Oct 2020 ECI Working Group Paper - Unconscious Bias: Increasing Awareness, Providing Training and Mitigating the Impact of Bias in Workplace Investigations

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