All Chief Compliance Officer articles
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Blog
BHI appoints chief risk and compliance officer
BHI, the U.S. division of Israel-based Bank Hapoalim, appointed Nisan Blum as chief risk and compliance officer.
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Blog
Optima Partners welcomes ex-RBC CCO as chief operating officer
Business management consultant Optima Partners announced the appointment of Michael Timotheou, former chief compliance officer at RBC Global Asset Management UK, as president and chief operating officer.
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Opinion
Five reasons I’m excited for CW’s Financial Crimes Summit
Compliance Week’s Financial Crimes and Regulatory Compliance Summit will feature more than 50 prominent speakers representing government agencies, regulators, banks, investment advisers, and more tackling the top-of-mind risk areas facing the financial services industry.
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Blog
Plooto names chief compliance officer
Plooto, a payment automation solution for small-to-midsize businesses, welcomed Christopher Wassenaar as chief compliance officer.
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Blog
BlackRock TCP Capital appoints compliance chief
Specialty finance company BlackRock TCP Capital announced the appointment of Ariel Hazzard as chief compliance officer.
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Blog
Riley Exploration Permian names chief compliance officer
Oil and natural gas company Riley Exploration Permian announced Corey Riley, formerly the company’s executive vice president - business intelligence, became its chief information officer and chief compliance officer.
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Blog
ClearSign Technologies appoints 1102 Partners CCO to board
ClearSign Technologies Corp., a developer of emission-control technology, announced David Maley, chief investment officer and chief compliance officer of family office 1102 Partners, was appointed to its board of directors.
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Blog
Karnataka Bank appoints chief compliance officer
India-based Karnataka Bank announced the appointment of Vinaya Bhat P.J. as chief compliance officer.
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Blog
Aspira Women’s Health general counsel, CCO to resign
Biotechnology company Aspira Women’s Health announced Minh Merchant will resign as general counsel, chief compliance officer, and corporate secretary.
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Blog
Black Hills general counsel, CCO to retire
Natural gas distribution company Black Hills Corp. announced Brian Iverson will retire as its senior vice president, general counsel and chief compliance officer.
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Blog
SageSpring Wealth Partners names chief compliance officer
Investment adviser SageSpring Wealth Partners named Brad Clayton as its new chief compliance officer.
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Premium
CCO liability: How to protect your compliance career
Despite significant issues outside the control of most chief compliance officers, some regulators have signaled more individual liability cases are to be expected. Will accepting the wrong job, in hindsight, make it your last?
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Blog
Geneva Financial welcomes chief compliance officer
Geneva Financial announced Jessie Ermel joined its leadership team as chief compliance officer.
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Blog
HKEX appoints group chief compliance officer
Hong Kong Exchanges and Clearing Limited announced the appointment of Lilian Cheng as group chief compliance officer.
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Blog
Amundi announces chief compliance officer
French asset management firm Amundi announced the appointment of Marc Noel as chief compliance officer.
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Blog
Moors and Cabot announces chief compliance officer
Investment wealth advisory firm Moors and Cabot announced the promotion of Katherine Kelliher to senior vice president, chief compliance officer.
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Blog
Borderless AI appoints ex-Visa, PayPal CCO to board
Payroll solution startup Borderless AI appointed Leonard Shen, the former chief compliance officer at Visa and PayPal, to its board of advisors.
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Blog
Financial Gravity names chief compliance officer
Financial services solutions provider Financial Gravity Companies welcomed Kaili Winters as chief compliance officer and strategy implementation lead.
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Blog
Binance.US names ex-New York Fed compliance chief to board
Cryptocurrency platform Binance.US announced the appointment of Martin Grant, former chief compliance and ethics officer at the Federal Reserve Bank of New York, to its board of directors for BAM Management US Holdings.
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Blog
Patriot National Bancorp names acting risk, compliance chief
Patriot National Bancorp disclosed Joshua Oliver will be acting chief risk and compliance officer upon the resignation of Judith Corprew.