- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By CW Staff2016-08-29T09:45:00
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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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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