All Chief Compliance Officer articles – Page 40
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Blog
Bridgewater Wealth names chief compliance officer
Bridgewater Wealth & Financial Management, a fee-only investment advisory firm, has appointed Marla Roeser as chief compliance officer.
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Former chief compliance officer joins Compliance Risk Concepts
Compliance Risk Concepts, a compliance risk-management services provider, has hired David Amster as principal and head of its fund and dealer advisory practice. In this role, Amster will develop new client relationships and also advise on operational matters.
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Walter Investment names chief risk and compliance officer
Walter Investment Management, a diversified mortgage banking firm, has appointed Alfred Young, as chief risk and compliance officer, effective Oct. 24. He will report to Walter's Chief Executive Officer and President Anthony Renzi.
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Dean Capital Management names chief compliance officer
Dean Capital Management, an employee-owned registered investment advisor, has appointed Jessica Skinner as chief compliance officer and director of operations for the firm.
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Zelis Healthcare names chief compliance officer
Zelis Healthcare, a healthcare information technology company, has named John Camperlengo, as general counsel and chief compliance officer.
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Baylor University names chief compliance officer
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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Fordham Law School appoints senior director of compliance programs
Fordham Law School has announced the appointment of Alice BrightSky as the school’s senior director of compliance programs. BrightSky will be managing Fordham Law’s corporate compliance initiatives, including two master’s degree programs—Master of Studies in Law (M.S.L.) and Master of Laws (LL.M.)—and the Corporate Compliance Institute.
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Worried the SEC might come after you personally? You should be
Jaclyn Jaeger looks at yet another case brought by the SEC spotlighting the sort of conduct that can result in a personal liability claim against legal and compliance officers.
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Learning Care Group names chief compliance officer
Learning Care Group, a for-profit early education and childcare provider, has named Daniel Follis as executive vice president, general counsel, and chief compliance officer, effective immediately. He will also serve as the company’s corporate secretary, reporting to CEO Barbara Beck.
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Citizens Financial appoints chief compliance officer
Citizens Financial Group announced the promotion of Deputy Chief Compliance Officer and Chief Privacy Officer Scott Essex to chief compliance officer, effective Oct. 17. He will succeed Bob Nelson, who is retiring effective Oct. 31.
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Artivest appoints chief compliance officer
Artivest, a technology-driven investment platform, has appointed Jon Feigelson as general counsel and chief compliance officer.
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EnteroMedics names new chief compliance officer
EnteroMedics, a medical-device company, has appointed Scott Youngstrom as chief compliance officer. He also will assume the additional role of chief financial officer.
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Article
How data analytics is changing the face of compliance
Compliance and risk officers are increasingly using data analytics to prevent and detect bribery and corruption risk, as well as enjoy cost and operational efficiencies. Jaclyn Jaeger explores.
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University of New Mexico chief compliance officer to retire
Elizabeth Rodke Washburn has been appointed interim chief compliance officer by University of New Mexico President Robert Frank. She will fill the position vacated by Helen Gonzales who recently announced her retirement after a long career at UNM.
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Hub International names chief compliance officer, West Region
Hub International Limited, a global insurance brokerage, risk advisory, and employee benefits firm, has appointed Liliana Salazar as chief compliance officer for the Hub West Region. She will be responsible for addressing the employee benefit compliance and regulatory needs of customers, employee benefit consultants, and sales executives.
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Grapevine: Who’s coming and going in compliance
Hamilton Lane, a private markets investment company, has appointed Fred Shaw as chief compliance officer; Factor Trust also has appointed a new chief compliance officer; and Dominion Diamond has elected two new board members; Check out the CW Grapevine for the latest personnel moves.
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FactorTrust appoints chief compliance officer
FactorTrust, a credit reporting agency, has appointed Barbara Sinsley as general counsel and chief compliance officer. In this role, Sinsley will provide FactorTrust with legal and regulatory guidance and manage the company’s internal and external compliance programs and products.
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Grapevine: Who’s coming and going in compliance
Just five months after reaching a $795 million settlement with U.S. and Dutch prosecutors for paying bribes to a government official in Uzbekistan, Amsterdam-based VimpelCom has appointed a group chief compliance officer, as well as a “chief values and culture transformation officer,” a newly created role; and Dean Foods and ...
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PresenceLearning hires chief compliance officer
PresenceLearning, a provider of telehealth services in education and health care, has hired Andrew Byrnes to lead the company’s legal, compliance, government affairs, human resources, and recruiting initiatives.
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Theranos appoints chief compliance officer
Amid a heap of regulatory trouble, start-up life sciences company Theranos announced the appointment of two new executives to lead the company’s regulatory, quality and compliance efforts, including naming a chief compliane officer. The company also created a new compliance and quality committee. Jaclyn Jaeger has the details.