All Chief Compliance Officer articles – Page 14
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Blog
Catalent appoints general counsel, chief compliance officer
Catalent, a pharmaceuticals manufacturer and consumer health products company, announced the appointment of Joseph Ferraro as senior vice president, general counsel, chief compliance officer, and secretary.
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Blog
POSaBIT appoints chief compliance officer
POSaBIT Systems Corp., a financial technology company serving the cannabis industry, announced the appointment of Sarah Mirsky-Terranova as chief compliance officer.
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Blog
Avantax appoints chief compliance officer
Avantax, a tax consulting service, announced the appointment of Melissa Loner as vice president and chief compliance officer.
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Blog
Store Capital adds compliance to general counsel’s title upon merger
With real estate investment trust Store Capital being acquired by GIC and Oak Street, Store announced General Counsel Chad Freed will be adding chief compliance officer to his duties.
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News Brief
Anchorage Digital revamps BSA/AML compliance post-OCC consent order
Anchorage Digital unveiled moves to bolster its Bank Secrecy Act/anti-money laundering compliance staff less than a year removed from being called out by the Office of the Comptroller of the Currency for deficiencies in the area.
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Blog
Dartmouth College recruits first CCO from Temple University
Dartmouth College announced the appointment of Alejandro Diaz as its first chief compliance officer. Diaz previously served as the inaugural CCO at Temple University, which named his interim successor as Susan Smith.
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Blog
8x8 promotes CCO to chief legal officer
8x8, an information technology and consulting company, disclosed the recent promotion of Chief Compliance Officer Laurence Denny to chief legal officer and corporate secretary.
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Blog
OceanFirst Financial promotes principal accounting officer to CCO
OceanFirst Financial Corp. disclosed the appointment of Angela Ho as chief compliance officer for the company and OceanFirst Bank.
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Premium
Learning from Wells Fargo: How Best Buy launched its enterprise risk and compliance function
Todd Hartman, general counsel and chief risk officer of Best Buy, shares the catalyst behind revamping the retailer’s second line of defense and the lasting benefits of separating compliance from legal.
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Blog
Wellings Capital unit appoints chief compliance officer
Wellings Real Estate Income Fund announced the appointment of Adrienne Hart as chief compliance officer.
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Blog
Kain Capital names chief compliance officer
Private equity firm Kain Capital announced the appointment of Bret Cummings as chief financial officer and chief compliance officer.
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Premium
Q&A: Ex-DOJ official on policy changes, new CCO expectations
Scott Hulsey, partner at Barnes & Thornburg, former federal prosecutor, and a former chief compliance officer, discusses with Compliance Week how CCOs should respond to the Department of Justice’s recent policy changes regarding corporate crime.
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Blog
Quad/Graphics promotes chief risk and compliance officer to general counsel
Marketing and printing company Quad/Graphics disclosed the promotion of Dana Gruen, currently senior vice president, chief risk and compliance officer and deputy general counsel, to general counsel and corporate secretary.
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Blog
CCO of Apollo units to depart
MidCap Financial Investment Corp. and Apollo Debt Solutions BDC will be searching for new compliance leadership following the resignation of Chief Compliance Officer Isabelle Gold.
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Blog
Restore Hyper Wellness names chief compliance officer
Restore Hyper Wellness announced the appointment of Emma Nasif as chief compliance officer.
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Blog
Kraken appoints chief compliance officer
Cryptocurrency platform Kraken announced the appointment of CJ Rinaldi as chief compliance officer.
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Blog
Marygold Companies tasks CCO with leading fintech subsidiary
Global holding firm The Marygold Companies announced the appointment of Timothy Rooney to head the company’s financial technology startup, Marygold & Co.
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Blog
Alpine Investors appoints general counsel, CCO
Alpine Investors announced the appointment of Alexandria Stuart as general counsel and chief compliance officer.
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News Brief
CFTC commissioner urges crypto gatekeepers ‘step up and call for compliance’
Christy Goldsmith Romero of the Commodity Futures Trading Commission called out gatekeepers—lawyers, accountants, auditors, compliance professionals, and others—for failing customers in the unregulated cryptocurrency market.
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Blog
Fitch Ratings CCO promoted to general counsel
Fitch Group, a provider of financial information services, announced the appointment of Bruce Legorburu as general counsel. Heather Merrigan replaces Legorburu as chief compliance officer for Fitch Ratings.