All Chief Compliance Officer articles – Page 37
-
Blog
U.S. Steel chief compliance officer to resign
United States Steel announced that General Counsel, Chief Compliance Officer and Senior Vice President of Government Affairs Suzanne Rich Folsom will resign from the company, effective Dec. 29, 2017.
-
Blog
Eaton Vance names chief compliance officer
Eaton Vance, a global asset management firm, has appointed Richard Froio as chief compliance officer.
-
Blog
SEC: Compliance officer stole $9M from charity
The Securities and Exchange Commission has charged a chief compliance officer with defrauding a non-profit charitable foundation out of $9 million over the course of twelve years.
-
Article
Managing global compliance expectations at the Golden Arches
Haydee Ortiz Olinger reflects on her 31 years as McDonald’s global compliance chief and what lessons she learned from her crucial role at the fast food giant.
-
Blog
VEON appoints group chief compliance officer
VEON (formerly VimpelCom) has appointed Josh Drew as group chief compliance officer and a member of VEON's executive management team.
-
Blog
Marsh & McLennan Companies names chief compliance officer
Marsh & McLennan Companies, a global professional services firm, has appointed Katherine Brennan as deputy general counsel, corporate secretary, and chief compliance officer. Her appointment becomes effective Oct. 18.
-
Blog
AMAG Pharmaceuticals appoints chief compliance officer
AMAG Pharmaceuticals has appionted Tracy Palmer Berns as chief compliance officer, effective immediately. She will report to Joseph Vittiglio, general counsel and senior vice president of legal affairs and quality.
-
Blog
Target chief risk and compliance officer to depart
Retail giant Target said that Jacqueline Rice, chief risk and compliance officer, will be leaving the company in September. Rather than replace her role, Target said that Chief Legal Officer Don Liu will inherit her team.
-
Blog
NLRB compliance officer fabricated victims, stole from compensation fund
A former NLRB compliance officer pleaded guilty this week to charges he stole more than $400,000 from an agency fund he oversaw that was intended to distribute funds to employees victimized by labor law violations.
-
Blog
Another CCO settles with SEC over negligence of duties
The SEC has announced another settlement with a former CCO over alleged negligence. The settlement, reached on Aug. 15 also offers a caution about retaining third party compliance services.
-
Article
Get your bad-boy groove back
Acceptance at the upper levels of a company is great for integrating compliance with business development and strategy. But don’t lock up the “Department of No” just yet.
-
Blog
Generali Global Assistance names chief compliance officer
Generali Global Assistance, a travel insurance provider and part of the global Generali Group, announced the hiring of Tarik Ajami as general counsel and chief compliance officer, supporting all Generali business lines in North America.
-
Blog
Funding Circle names U.S. chief compliance officer
Funding Circle, a lending platform focused exclusively on small business, has appointed Richard Stephenson as U.S. chief compliance officer.
-
Blog
University of California names chief compliance officer
The University of California Board of Regents has appointed Alexander Bustamante as senior vice president and chief compliance and audit officer at UC’s Office of the President, effective Sept. 5.
-
Article
Brexit provides plenty of compliance opportunities
The 2019 Brexit deadline is creating a host of big opportunities for companies to boost their compliance programs, and for compliance professionals to show their worth.
-
Blog
TSG names chief compliance officer
TSG Consumer Partners, a private equity firm focused exclusively on the branded consumer sector, has named Jessica Duran chief compliance officer.
-
Blog
Portland General Electric appoints compliance officer
Portland General Electric has appointed Lisa Kaner as PGE’s new general counsel and corporate compliance officer.
-
Blog
Bank of the West names chief compliance officer
Bank of the West, a regional financial services company headquartered in San Francisco with $83.8 billion in assets as of March 31, has appointed Karin Lockovitch as its new chief compliance officer. She will be responsible for overseeing bank compliance with regulatory requirements and with internal policies and procedures.
-
Blog
SEC slams CCO for anti-money laundering violations
The SEC has once again punished a CCO for neglecting their duties and ignoring red flags at a firm under investigation for suspect activities. Failing to file suspicious activity reports was at the root of the problem.
-
Blog
Triad Advisors appoints chief compliance officer
Triad Advisors, an independent broker-dealer, has appointed Bernie Breton as chief compliance officer.