Governance, Risk and Compliance

Strategic guidance for corporate governance, compliance and risk management.

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Compliance at the Speed of Business

As businesses navigate a rapidly evolving global environment, emerging trends in risk and compliance are reshaping company strategies and priorities. Phillips Lytle is poised and ready to provide effective solutions with insights into the challenges and opportunities that organizations encounter.

Phillips Lytle’s Governance, Risk and Compliance Practice was established to assist our clients in understanding their risk exposure and to ensure that they have the appropriate policies, procedures and strategies in place to comply with statutory and regulatory obligations. The primary objectives that constitute an effective compliance and ethics program include prevention, detection and corrective action.

With in-house counsel taking on more of a strategic role in their organizations, we know that it is more important than ever to work with law firms who are able to provide creative solutions, ideas and innovative ways to address the ever-changing regulatory landscape.

Allocating Resources Toward Compliance Management

Every organization must allocate adequate resources to compliance management. Developing, enforcing and sustaining a compliance program demands significant resources. Underinvestment sends a message that compliance is not a priority and may attract unwanted attention from regulators and enforcement authorities.

Establishing a culture of compliance empowers an organization to appropriately avoid penalties, mitigate operational risks, and adhere to industry standards and regulations. Essentially, compliance forms the foundation of effective business governance.

Phillips Lytle attorneys become an extension of in-house counsel’s team to assist in addressing how governance, risk and compliance play into the overall strategic direction of your company and the goals and objectives it has set. Our attorneys forge connections, foster collaboration and develop streamlined, practical methods that are sustainable.

In today’s global market, having a holistic approach to compliance and risk management is critical. Companies face increasingly complex regulations, aggressive government enforcement and greater public scrutiny while striving to implement business initiatives that expand market share, increase profitability and help them stay ahead of the competition. As businesses continue adjusting to these higher expectations, developing and maintaining effective corporate compliance and risk management programs can become a major asset.

Tailored Regulatory Compliance and Risk Management Solutions

Our team works closely with clients to develop a comprehensive compliance perspective to fit the unique needs of their organization. Specific areas of engagement include:

  • Working collaboratively with the General Counsel, Chief Financial Officer, Chief Executive Officer, Chief Risk Officers, Chief Compliance and Ethics Officers, Chief Privacy and Security Officers, Human Resources, and IT departments to understand the big picture and determine how to “de-risk” the direction your company is taking.
  • Identifying new regulations on the horizon and the important rulings coming from various agencies, e.g., Corporate Transparency Act.
  • Offering implementation support—providing risk assessments and then augmenting your company’s team to ensure that there are processes and “fit for Purpose” internal controls in place.
  • Working directly with IT, legal, compliance, risk and business units to get out ahead of supply chain disruptions, including technology.
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Meet Our Governance, Risk and Compliance Team


Vlad Kapustin Special Counsel
David P. Flynn Partner
William P. Keefer Partner, Governing Committee
Kevin J. Mulvehill Partner, Governing Committee
Lisa L. Smith Partner
Zabrina V. Reich Partner
Danielle M. Rizzo Partner
James Kevin Wholey
Marc N. Aspis Special Counsel
TEAM LEADER
Vlad Kapustin Special Counsel
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TEAM LEADER
David P. Flynn Partner
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TEAM LEADER
William P. Keefer Partner, Governing Committee
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TEAM LEADER
Kevin J. Mulvehill Partner, Governing Committee
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TEAM LEADER
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TEAM LEADER
Zabrina V. Reich Partner
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TEAM LEADER
Danielle M. Rizzo Partner
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TEAM LEADER
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Marc N. Aspis Special Counsel
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Meet the Team
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