All Chief Compliance Officer articles – Page 21
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ArticleIndictment: Ex-CCO charged with wire fraud over misappropriated funds
Jennifer Campbell, a former chief compliance officer at an unnamed investment adviser in Buffalo, N.Y., faces criminal and civil charges for allegedly misappropriating approximately $500,000 in funds from client accounts.
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Ranger Investments appoints chief compliance officer
Ranger Investment Management announced the appointment of Melanie Mendoza as chief compliance officer.
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ArticleFormer Danske Bank CCO Philippe Vollot resigns
Danske Bank Chief Administrative Officer Philippe Vollot, who was promoted to the position from chief compliance officer in November, has resigned, the Danish bank announced.
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WonderFi adds chief compliance officer
WonderFi, a technology company serving the financial services and cryptocurrency sector, announced the appointment of Torstein Braaten as chief compliance officer.
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ArticleLessons learned from Olympus compliance monitorship
Christine Gordon, chief compliance officer at Olympus Corporation of the Americas, spoke about her company’s experience working with a DOJ-selected independent monitor at Compliance Week’s National Conference.
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Monogram Health appoints chief compliance officer
Monogram Health, an in-home healthcare provider, added Karen Abbott as chief administrative officer and chief compliance officer.
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Gunderson Dettmer recruits ex-Andreessen Horowitz CCO as partner
Law firm Gunderson Dettmer announced the appointment of former Andreessen Horowitz Chief Compliance Officer Benjamin Buckwalter as partner in its corporate and securities practice.
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ArticleDOJ’s Kenneth Polite to CCOs: Tell me your compliance success stories
Kenneth Polite Jr., head of the Department of Justice’s Criminal Division and a former chief compliance officer, delivered a dynamic keynote address emphasizing the importance of empowering compliance to avoiding prosecution at Day 2 of Compliance Week’s National Conference.
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ArticleCompliance execs get candid on industry challenges at CW think tank
Fifteen high-level compliance executives discussed the challenges and opportunities presented by an ever-changing compliance landscape during a first-ever executive think tank session at Compliance Week’s 2022 National Conference in Washington, D.C.
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ArticleFedEx’s social mission: Diversity drives better business
FedEx’s DEI strides—including becoming a minority-majority employee company in the U.S. for the first time in its history in fiscal year 2018—are not by accident. The company’s long history of hiring a diverse workforce and promoting from within is among the keys to its success.
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ArticleCiti names Tom Anderson as new chief compliance officer
Tom Anderson will be the next chief compliance officer at Citi, effective June 1. His appointment comes two months after Mary McNiff stepped down from the role.
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FTX appoints chief compliance officer
Cryptocurrency exchange FTX US announced the appointment of Marissa MacDonald as chief compliance officer.
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Article‘A marathon, not a sprint’: FedEx carbon-neutral pledge tests longtime ESG efforts
In March 2021, FedEx announced an audacious goal: to achieve carbon-neutral operations globally by 2040. How did the company develop this pledge, and how will it track its progress and hold itself accountable to intermediate goals?
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ArticleA look inside USAA’s ‘catastrophically mismanaged’ compliance culture
In exclusive interviews with Compliance Week, former USAA insiders describe a risk and compliance culture in which numerous individuals either were given the axe or quit because the problems were so endemic.
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EternalHealth names chief compliance officer
Health insurance agency EternalHealth announced the appointment of John Price as chief compliance officer.
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Bancorp Bank names chief compliance officer
Bancorp Bank announced the appointment of Randall Baugh as managing director, chief compliance officer.
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Joseph Gunnar & Co. names chief compliance officer
Joseph Gunnar & Co., a broker-dealer, investment adviser, and investment bank, announced the appointment of James Mazzei as chief compliance officer.
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LifePoint Health promotes deputy CCO to chief compliance officer
LifePoint Health announced Deputy Chief Compliance Officer Tizgel High has been promoted to chief compliance officer.
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Open Mortgage names first chief compliance officer
Open Mortgage, a multichannel mortgage lender, appointed Andrea Easter as its first chief compliance officer.
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SEC proposes Dodd-Frank rule requiring security-based swaps to hire CCOs
The Securities and Exchange Commission proposed a regulatory framework for security-based swap execution facilities that will require these entities to hire a chief compliance officer to oversee compliance with new rules.