About

Who I am

Katherine Schulze

As a lawyer, I investigated legal violations, enhanced procedures to minimize business risks, and returned more than $100 million to investors. By applying my "encyclopedic knowledge" of the securities laws, and advising business leaders to remediate any impact proactively, I helped corporations avoid more costly enforcement proceedings and lawsuits.

As a compliance officer, I drafted, tested, and enhanced procedures to prevent and report legal violations, developed risk assessment tools, processes, and a database to track progress on remediating "gaps" and control failures. I created a dashboard for reporting project status, significant and emerging risks to business leaders, auditors, and boards.

As an ethics officer, I help business leaders and boards evolve their governance procedures, decision-making, and cultures to promote long-term, sustainable growth, attract and inspire employees, and earn customer trust and loyalty. When organizations grow their businesses with a commitment to preventing, detecting, and remediating the impact of any control failures, they are welcome community members. They can inspire their stakeholders to create a more ethical world.

At a glance

Managing Member, General Counsel & Chief Ethics Officer, Ethics Alliance Maryland since March of 2021

Former Director, Chief Ethics Officer, Chief Compliance Officer, Associate, Deputy and General Counsel of Transamerica companies. Retired March 2021

Certified Compliance and Ethics Professional (CCEP) and CCEP– International. Leadership Professional in Ethics & Compliance

Licensed to practice law in Maryland, Illinois, District of Columbia, and Michigan

Passionate about community stewardship and life-long learning

Licensed Consultant, Standards for Excellence

My approach

What's unique about me/my approach is that I collaborate well and cross-functionally to drive results and develop practical, creative solutions. I have high standards and am a person of integrity. I am viewed as credible and trustworthy. My direct reports describe me as genuine, knowledgeable, and supportive. I lead by example and am dedicated to superbly fulfilling my responsibilities.

I thrive on "what if" creative thinking

I encourage diversity of thought and sincerity to develop and improve ideas

I bring ideas of others together to form solutions and continuously to learn and improving

Let's get to work

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