Compliance, Ethics, Risk & Governance
DWT's Compliance, Ethics, Risk & Governance practice offers boutique-quality service backed by the extensive resources of a full-service law firm. We strike the delicate balance between mitigating risks and advancing business objectives. Our creative, practical approach is designed to achieve both goals.
Overview
Led by a partner with two decades of experience building compliance programs and supported by a team of former in-house and government lawyers, we assist clients of all sizes, industries, and risk profiles in proactively assessing risk across their organizations. We benchmark and evaluate the effectiveness of compliance programs, design and enhance compliance procedures, and provide day-to-day implementation and counseling. When challenges arise, we guide clients through crisis management, internal investigations, and government enforcement matters, ensuring efficient scoping, resolution, and remediation. We combine legal precision with deep industry knowledge to help clients meet regulatory expectations, manage scrutiny, and foster cultures of accountability and trust.
Why Choose DWT?
We partner with in-house legal and compliance teams to craft business-minded solutions that are both effective and executable—grounded in real-world business operations. Our lawyers understand the pressures faced by modern organizations and deliver advice that is responsive, strategic, and tailored to the realities of each client's industry. Whether supporting a fast-growing startup or a global enterprise, our goal is always the same: to help you navigate risk, resolve issues efficiently, and grow your business through strong, credible, transparent, and agile compliance frameworks.
Areas of Focus
- Anti-Corruption
- Antitrust
- AI Ethics & Compliance
- Bank Secrecy Act/Anti-Money Laundering
- Business Ethics
- Civil Rights & DEI
- Consumer Protection
- Crypto & Blockchain
- Cybersecurity
- Data Privacy
- ESG & Sustainability
- Employment & Labor
- Energy Regulatory & Clean Energy
- Environmental Compliance
- False Claims Act
- Financial Services Regulatory
- Food + Beverage Regulatory
- Government Contracts Compliance
- Healthcare Fraud & Healthcare Regulatory
- Human Rights
- Insider Trading
- International Trade & Sanctions
- Securities Fraud
- Third-Party Risk
How We Help Our Clients
Proactive Risk Assessment
We assist companies in assessing compliance risks throughout their businesses, across the globe. We believe in an approach to risk assessment that is tailored to each client's unique risk profile and risk tolerance. We conduct enterprise-wide risk assessments, as well as risk assessments focused on a given business unit, business model, subsidiary, or geography. We conduct assessments focused on specific risk areas, and across compliance risks, and have experience with both data-driven, quantitative exercises as well as qualitative assessments. Our risk assessments result in practical and business-friendly advice, not only identifying risks but also developing a prioritized action plan for risk mitigation.
Benchmarking & Assessing Effectiveness of Compliance Programs
Because our team includes former prosecutors and members with in-house compliance experience, we are uniquely positioned to help clients benchmark their compliance programs against both their peers and the expectations of enforcement agencies and assess the effectiveness of their programs. We help our clients ensure not only that their programs are consistent with regulator expectations and best practices, but also that they are operating efficiently, and that resources are appropriately allocated to the areas of greatest risk.
Designing & Enhancing Compliance Programs & Procedures
We help our clients design and refine policies, procedures, and controls that are effective, efficient, practical, and designed to integrate seamlessly into existing business processes wherever possible. Our extensive experience with the design of compliance programs enables us to truly help our clients mitigate risk while also achieving business objectives.
Day-to-Day Compliance Program Implementation & Counseling
We support our clients in the day-to-day implementation and enforcement of their compliance programs, serving as proactive counselors as risks and issues arise.
Crisis Management
We help our clients at all stages of crisis management, from preparedness to response. We assist with planning, protocols, and table-top exercises based on real-life scenarios, and if a crisis arises, we are on standby to help mitigate risks throughout the crisis.
Internal Investigations & Government Enforcement
When issues arise or allegations are made, we help our clients rapidly scope and deploy a plan, conduct internal investigations, defend against enforcement actions, and provide representation at either the corporate or individual level. We also assist clients with navigating risk involving potential criminal and civil liability, leniency applications, and whistleblower protection.
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Practice Contacts
Stacey Sprenkel
Head of Sustainability & Responsible Business
Head of Compliance, Ethics, Risk & Governance
Our Team
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Contact Us
Ready to tackle your next challenge, or simply have questions? Let's talk. Our team is ready to help you navigate complexity with clarity, confidence, and results.
Compliance, Ethics, Risk & Governance Contact Form
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