Scuttlebutt

Compliance Week regularly tracks personnel moves, including the appointments of compliance, governance and risk officers and executives. Key changes at boards of directors are also tracked, as are changes at regulatory bodies. Please submit announcements to Compliance Week's Jaclyn Jaeger. Also, don't forget to check out Compliance Week's Help Wanted section for the latest job postings.

Allianz Life Insurance Appoints SVP, Corporate Risk Management

May 15, 2013

Allianz Life Insurance Co. of North America has promoted Andreas Graser to senior vice president of the corporate risk management department. Graser currently serves as chief risk officer, leading enterprise risk management and providing counsel for the Allianz operating group on all risk-relevant topics...
 

EADS Appoints Chief Compliance Officer

May 14, 2013

EADS North America, an aerospace and defense services company, has appointed Dave Tarbell as chief compliance officer and vice president for trade and security. He is responsible for all aspects of ethics and compliance for the company, including overseeing trade and security compliance. He reports to Chief Executive Officer and Chairman Sean O'Keefe and EADS Group Chief Compliance Officer Pedro Montoya...
 

Fulton Financial Names Chief Accounting Officer, Controller

May 13, 2013

Fulton Financial Corp. has promoted Michael DePorter to senior vice president, chief accounting officer and controller, effective as of May 10. In this position, DePorter oversees all of the company's accounting-related functions...
 

Park Electrochemical Corp. Appoints New Corporate Controller

May 13, 2013

Park Electrochemical Corp. has appointed Robert Yaniro as corporate controller. He will report to Chief Financial Officer and Vice President Matthew Farabaugh...
 

Alcoa Appoints Chief Ethics and Compliance Officer

May 10, 2013

Aluminum producer Alcoa has appointed Susan Ringler as vice president and chief ethics and compliance officer, effective June 1. Ringler succeeds Judith Nocito, director of global compliance and assistant general counsel, who will retire on Aug. 1 after 34 years at Alcoa...
 

Prudential Appoints Chief Compliance Officer

May 10, 2013

Prudential Investments, the mutual fund manufacturing and distribution business of Prudential Financial, has appointed Bruce Karpati as chief compliance officer, effective May 13. In addition to leading compliance for the company, he also will serve as CCO for its mutual funds boards...
 

Analog Devices Appoints New Chief Accounting Officer

May 09, 2013

Analog Devices, a data conversion and signal conditioning technology company, has promoted Eileen Wynne to vice president, corporate controller, and chief accounting officer...
 

DIRECTV Names Corporate Secretary, Deputy General Counsel

May 07, 2013

DIRECTV has appointed current senior vice president and general counsel Michael Hartman of DIRECTV Latin America to the additional role of corporate secretary and deputy general counsel. He will continue to oversee all legal, government relations and regulatory affairs for the Latin America business, as well as assuming corporate governance responsibilities for DIRECTV...
 

Alliance Pipeline Appoints General Counsel, Corporate Secretary

May 07, 2013

Alliance Pipeline has appointed William Christensen as vice president of law, general counsel and corporate secretary, effective as of May 1...
 

Aegerion Pharmaceuticals Appoints New Board Member

May 06, 2013

Biopharmaceutical company Aegerion Pharmaceuticals has appointed Anne VanLent to its board of directors, effective as of April 26. VanLent will also chair the audit committee...
 

FINRA Hires SEC Director as EVP, Risk and Strategy

May 03, 2013

The Financial Industry Regulatory Authority (FINRA) has appointed Carlo di Florio, currently Director of the Securities and Exchange Commission Office of Compliance Inspections and Examinations, will join the organization as executive vice president of risk and strategy, effective June 24...
 

Ford Motor Co. Reshuffles Compliance Executives

May 03, 2013

Ford Motor Co. is making some changes to the compliance department. James Carroll, who has held the director of corporate compliance role since 2008, will leave that job to handle legal affairs with Washington. He will be replaced by legal counsel Raphael Richmond.
 

99 Cent Only Stores Names New Internal Audit Director

May 02, 2013

99 Cent Only Stores, a discount retail chain based in Los Angeles, has hired Tom Rudenko to be the $1.8 billion company's new director of internal audit and chief audit executive.
 

Think Finance Appoints First Chief Integrity Officer

May 02, 2013

Think Finance, an online financial products company, has appointed Martin Wong to the newly-established role of chief integrity officer...
 

Aztec Group Appoints First Chief Risk Officer

May 02, 2013

The Aztec Group, a real estate investment banking firm, has named Rylee Muddle to the newly-created role of chief risk officer...
 

Nokia Siemens Appoints New General Counsel

May 02, 2013

Nokia Siemens Networks has appointed Maria Varsellona as general counsel. Gerwin Zott will continue in his role as acting general counsel until Varsellona joins the company July 1...
 

Facebook Chief Accounting Officer to Step Down

May 02, 2013

Facebook's chief accounting officer, David Spillane, is stepping down on May 10, the company announced in a regulatory filing with the Securities and Exchange Commission. According to the filing, Spillane tendered his resignation on April 25 and gave no reason for his departure. Jas Athwal, who has served as Facebook's corporate controller of revenue, will take over as CAO.
 

State Auto Appoints New Chief Accounting Officer, Treasurer

April 26, 2013

State Auto Financial Corporation has appointed Matthew Pollak as vice president, treasurer and chief accounting officer. Pollak also serves in these capacities with subsidiaries State Automobile Mutual Insurance Company and State Auto Property & Casualty Insurance Company...
 

Federal Home Loan Bank of Atlanta Hires New Treasurer

April 26, 2013

Federal Home Loan Bank of Atlanta has appointed Haig Kazazian as treasurer. He will succeed Senior Vice President and Treasurer Andrew Mills when he retires, effective May 31...
 

SEC Names New General Counsel

April 25, 2013

The Securities and Exchange Commission this week announced that it has appointed Anne Small as general counsel. She will succeed Geoffrey Aronow, who will become a senior counsel to Chairman Mary Jo White...
 

Illumina Appoints New General Counsel

April 25, 2013

Illumina, a provider of life science tools and integrated systems, has appointed Charles Dadswell as senior vice president and general counsel...
 

ConceptONE Hires New Global Regulatory and Compliance Officer

April 24, 2013

ConceptONE, a provider of data aggregation, risk management, reporting and advisory solutions, has hired Gary Kaminsky as managing director and director of global regulatory and compliance, effective May 1...
 

Guardian Mortgage Appoints Chief Risk Officer

April 24, 2013

Guardian Mortgage Company has hired Bryan DeShasier as chief risk officer, effective as of April 15...
 

Aetna Appoints Chief Ethics and Compliance Officer

April 24, 2013

Health insurance giant Aetna has appointed Thomas Jones chief ethics and compliance officer, effective April 29. In this capacity, Jones will oversee, develop and integrate compliance strategies, policies and procedures and lead the compliance department. Jones comes to Aetna from The Hartford, where he was also chief ethics and compliance officer. He succeeds Thomas Young, who is retiring from Aetna after 27 years of service.
 

Virginia Commerce Bank Appoints New Chief Risk Officer

April 24, 2013

Virginia Commerce Bank has appointed Christopher Ewing as chief risk officer, in addition to his current responsibilities as executive vice president and chief operations officer. In this capacity, he will oversee risk management practices...
 

Google's Compliance Chief Joins ERC Board

April 23, 2013

The Ethics Resource Center has appointed Andrew Hinton, vice president of ethics and compliance at Google, to its board of directors...
 

STMicroelectronics Appoints New Audit Committee Chair

April 23, 2013

STMicroelectronics, a semiconductor company, has appointed Martine Verluyten as chair of the audit committee of the supervisory board, replacing Tom de Waard. Verluyten has been a member of the supervisory board and has served on the audit committee since May 2012...
 

SEC Names Deputy Director of Division of Risk, Strategy and Financial Innovation

April 16, 2013

The Securities and Exchange Commission has appointed Jennifer Marietta-Westberg as deputy director of its Division of Risk, Strategy, and Financial Innovation (RSFI)...
 

Former SFO Joint Head of Bribery and Corruption Joins Steptoe & Johnson

April 16, 2013

Law firm Steptoe & Johnson has appointed former joint head of bribery and corruption of the U.K.'s Serious Fraud Office (SFO) Patrick Rappo as partner. Rappo will practice in the firm's international regulation and compliance and litigation groups, and will continue the expansion of the firm's FCPA/anti-corruption and white-collar criminal defense practices...
 

Prudential Financial Appoints New Chief Ethics Officer

April 16, 2013

Prudential Financial has appointed Royanne Doi as vice president and chief ethics officer at Prudential of Japan...
 

Rutgers Appoints SVP, General Counsel

April 16, 2013

John Farmer, dean of Rutgers School of Law-Newark since July 2009, has been appointed senior vice president and general counsel, effective immediately. Vice Dean Ronald Chen will serve as acting dean...
 

Debevoise & Plimpton Names Co-Chair of Litigation Department

April 16, 2013

Law firm Debevoise & Plimpton has named Mary Beth Hogan as co-chair of the litigation department. Hogan will work closely with John Kiernan, who co-chaired the department with Mary Jo White, who was recently named chair of the Securities and Exchange Commission...
 

UniTek Shakes Up Management Team in Midst of Investigation

April 15, 2013

UniTek Global Services, a provider of outsourced construction services to the cable and wireless industries, has terminated several members of its management team due to revenue-recognition issues at one of its subsidiaries.
 

Johns Hopkins Appoints New General Counsel

April 11, 2013

Johns Hopkins University has appointed Mark Rotenberg, currently chief legal officer of the University of Minnesota, as vice president and general counsel, effective June 3...
 

Delta Appoints Deputy General Counsel, International and Regulatory Affairs

April 11, 2013

Delta Airlines has appointed Robert Rivkin as senior vice president and deputy general counsel, international and regulatory affairs...
 

Frontier Airlines Appoints Chief Accounting Officer, Treasurer

April 10, 2013

Frontier Airlines has appointed Holly Nelson as chief accounting officer and treasurer...
 

Fay Servicing Appoints Chief Compliance Officer, General Counsel

April 10, 2013

Fay Servicing, a company that manages distressed and at-risk residential mortgages, has appointed Loren Morris as chief compliance officer, general counsel and executive vice president. He will be responsible for leading corporate, strategic and legal initiatives...
 

BPV Capital Management Appoints Chief Compliance Officer, General Counsel

April 09, 2013

BPV Capital Management has appointed Leslie Beale as general counsel and chief compliance officer. In this role, she is responsible for the company's risk management programs and ensuring the compliance of the company with legal and regulatory requirements, as well as providing legal support...
 

Leviton Appoints New General Counsel

April 09, 2013

Electrical devices and network solutions company Leviton has appointed Meir Blonder as general counsel. In his new role, Blonder will be responsible for all of the company's legal matters, as well as overseeing the legal staff. He will continue in his current role as chief intellectual property counsel...
 

Kroll Advisory Solutions Names Managing Director, Transaction Intelligence & Compliance

April 08, 2013

Kroll Advisory Solutions, a risk mitigation and response solutions company, has appointed Lonnie Keene as managing director in the transaction intelligence and compliance practice. Keene will advise companies on their compliance, anti-money laundering, anti-bribery and international sanctions programs...
 

IDEXX Laboratories Names General Counsel

April 05, 2013

Diagnostic and information technology company IDEXX Laboratories has appointed Jeffrey Fiarman as executive vice president and general counsel effective May 1. In his new role, Fiarman will oversee the legal, compliance, business development and regulatory functions...
 

Healthcare Services Group Appoints New Chief Compliance Officer

April 04, 2013

Healthcare Services Group has appointed Jason Bundick as chief compliance officer. He will also continue in his current role as corporate counsel...
 

Annie's Appoints General Counsel, Secretary

April 03, 2013

Natural and organic food company Annie's has appointed Isobel Jones as general counsel and secretary, effective as of April 1. Jones serves as in-house legal counsel, as well as managing legal and compliance matters...
 

Marsh & McLennan Appoints New Treasurer

April 01, 2013

Marsh & McLennan, a global professional services firm, has appointed Helen Shan as vice president and treasurer, effective April 15. In her new role, Shan will oversee the company's global treasury organization, including capital management, pensions, investments, and cash management...
 

Green Mountain Coffee Roasters Appoints Chief Legal Officer, General Counsel, Secretary

March 29, 2013

Green Mountain Coffee Roasters, a specialty coffee and coffee makers company, has appointed Michael Degnan as chief legal officer and corporate general counsel, and Sonia Cudd as secretary, both effective March 31...
 

Autodesk Appoints New Board Member

March 27, 2013

Software company Autodesk has appointed Tom Georgens to its board of directors, effective as of March 21...
 

Dollar General Seeking New General Counsel

March 26, 2013

Dollar General Corporation announced this week that Susan Lanigan, executive vice president and general counsel, has decided to retire later this year after nearly 11 years with the company.
 

IDACORP Appoints New Board Member

March 22, 2013

Holding company IDACORP has appointed Dennis Johnson to both the IDACORP and Idaho Power Company boards of directors...
 

Duncan-Williams Hires Chief Compliance Officer

March 21, 2013

Investment firm Duncan-Williams has named Jim Cherry as chief compliance officer, effective immediately...
 

Northeastern University Names VP, Enterprise Risk Management

March 19, 2013

Northeastern University has appointed Deloris Pettis to the newly created position of vice pres­i­dent of enter­prise risk management. In her new role, Pettis will use existing resources to develop an enterprise-wide risk reporting and monitoring system...
 
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