Vicki Sweeney
Principal
KPMG LLP

As head of KPMG LLP’s Ethics and Compliance Group, Vicki leads the day-to-day operations of a 30-member team that works to ensure compliance with firm policies and procedures, professional standards, and regulations. 

Roles and Responsibilities:

• Maintains the firm’s Code of Conduct and related compliance initiatives
• Actively manages and monitors Ethics and Compliance Hotline reports and the firm’s retaliation monitoring program
• Develops and implements firm-wide and targeted Ethics and Compliance training and communications
• Creates and administers audit testing programs to ensure compliance with SEC independence rules and regulations
• Monitors compliance with professional licensing and continuing professional education requirements for CPAs.
• Develops policies and procedures to ensure compliance with legal and regulatory requirements for data privacy
• Serves as a member of the firm’s Legal & Compliance Committee
• Provides regular briefings to the Professional Practice and Ethics & Compliance Committee of the Board of Directors

Highlights and Achievements:

• Drafted and rolled out a Code of Conduct for all US partners and employees and developed a Global Code of Conduct for all KPMG member firms;
• Established a firm-wide annual compliance certification process for  the Code of Conduct;
• Established an effective hotline process to manage all hotline cases;
• Launched successful firm-wide ethics training initiatives in 2004, 2006 and 2008;
• Training KPMG and client professionals on ethics and compliance topics.