All Chief Compliance Officer articles – Page 25
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CCO settles SEC charges of causing firm to breach fiduciary duties
The SEC announced settled charges with the chief compliance officer of investment adviser VII Peaks Capital for her alleged role in causing the firm to breach fiduciary duties.
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NYC Bar framework seeks clarity on when CCOs face SEC charges
The New York City Bar Association has proposed a framework for regulators like the SEC to use when considering charging chief compliance officers for misconduct that occurs on their watch.
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Former Santander CCO joins K2 Integrity
Compliance monitoring firm K2 Integrity announced former Santander CCO Fred Springer has joined the firm as a senior managing director in its Financial Crimes Risk Management (FCRM) practice.
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Melio hires former Amex exec as chief compliance officer
B2B payments company Melio announced the appointment of former American Express executive Jonathan Polk as general counsel and chief compliance officer.
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Trinity Health tabs chief integrity and compliance officer
Trinity Health announced the appointment of Dawn Geisert as senior vice president and chief integrity and compliance officer.
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Tiedemann appoints chief compliance officer
Independent investment and wealth advisor Tiedemann Advisors announced the appointment of Whitney Fogle Lewis as chief compliance officer and deputy general counsel.
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Newbridge Financial Services names chief compliance officer
Newbridge Financial Services Group, an affiliate of Newbridge Financial, announced the promotion of Jennifer Dorfman to chief compliance officer.
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Circle appoints chief compliance and risk officer
Circle, a global financial technology firm, announced the appointment of Mandeep Walia as chief compliance and risk officer.
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Citi CCO Mary McNiff taking to compliance one year in
Mary McNiff shared initiatives she’s undertaken in her first year as chief compliance officer at Citi during her keynote at CW’s 2021 National Conference on Wednesday.
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5 reasons to be excited for Compliance Week 2021
Editor in Chief Dave Lefort shares what he’s most looking forward to ahead of Compliance Week’s 16th annual National Conference from May 11-13.
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Siemens appoints new chief compliance officer
German technology giant Siemens announced the appointment of Annette Kraus as chief compliance officer.
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Coca-Cola replaces top legal counsel with CCO
The Coca-Cola Company has pushed out its top legal counsel after less than a year on the job and named its chief compliance officer to replace him.
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New chief compliance officer, same Facebook
It isn’t surprising to see Facebook think it doesn’t have an ethical obligation to alert users to its latest data leak, writes Kyle Brasseur, but it is disappointing knowing the company now has a chief compliance officer in place.
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Walmart ethics and compliance chief Daniel Trujillo to depart
Daniel Trujillo, executive vice president and global chief ethics and compliance officer at Walmart, is leaving the company “to pursue other opportunities,” according to an internal memo shared with employees.
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Sprout Mortgage hires chief compliance officer
Sprout Mortgage announced the appointment of Laura LaRaia as executive vice president, general counsel, and chief compliance officer.
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Video: Deutsche Bank, Credit Suisse, and combining risk and compliance
Aly McDevitt and Kyle Brasseur assess changes in compliance and risk management functions at Deutsche Bank and Credit Suisse in light of recent scandals at each bank.
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Petal appoints chief compliance officer, general counsel
Credit card startup Petal announced the appointment of former CFPB official Elizabeth Corbett as general counsel and chief compliance officer.
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Mr. Cooper Group names new chief risk and compliance officer
Mr. Cooper Group, a home loan service provider, announced the appointment of Kurt Johnson as executive vice president and chief risk and compliance officer.
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Credit Suisse compliance chief steps down in Archegos collapse aftermath
Credit Suisse Chief Risk and Compliance Officer Lara Warner has stepped down from her role and left the company following the bank’s loss of an estimated $4.7 billion due to the meltdown of hedge fund Archegos Capital Management.
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Outgoing FinCEN head Kenneth Blanco to join Citi as financial crimes CCO
Kenneth Blanco has been tapped to lead a new financial crimes unit at Citi following his departure as director of the Treasury Department’s Financial Crimes Enforcement Network later this week.