- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By CW Staff2016-10-07T13:00:00
Baylor University has appointed Doug Welch, who has served as associate general counsel at the university since 2006, as chief compliance officer.
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2019-08-13T15:29:00Z By CW Staff
Penn State has named Jennifer Santiago as its new assistant vice president of risk management and University risk officer, effective Sept. 12.
2025-03-19T11:53:00Z By Adrianne Appel
An investment company and its founder, president, and chief compliance officer flagrantly kept violating mutual fund rules for multiple years after settling with the Securities and Exchange Commission, the SEC said in a complaint against the company.
2025-03-12T16:01:00Z By Adrianne Appel
Two executives at New York-based Momentum Advisors, including the firm’s chief compliance officer, allegedly misappropriated more than $220,000, the Securities and Exchange Commission said.
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