- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Wells Fargo Advisors, with $1.4 trillion in client assets, has named Jim McHale as chief compliance officer. His appointment follows an administrative proceeding instituted by the Securities and Exchange Commission in October against Wells Fargo's former compliance officer for allegedly altering a document before it was provided to the SEC ...
THIS IS MEMBERS-ONLY CONTENT. To continue reading, choose one of the options below.
News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
Commercial real estate finance and advisory services firm Walker & Dunlop announced that Dan Groman will be its executive vice president, general counsel, secretary and chief compliance officer.
Vantage Drilling International announced that Sarah French has assumed the role of general counsel, chief compliance officer and corporate secretary.
Compliance Week’s sixth annual “Inside the Mind” survey seeks to discover what makes CCOs and other risk and compliance practitioners tick. Take 10 minutes to share your experiences and be part of our special report.
