All Chief Compliance Officer articles – Page 35
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The Bancorp names new compliance, risk chiefs
The Bancorp, a service provider for non-bank financial service companies, announced the addition of Michael Althouse as chief compliance officer and Keith Owes as chief risk officer.
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Score Media appoints CCO, general counsel
Score Media and Gaming, the company behind theScore sports app, announced the appointment of Josh Sidsworth as general counsel and chief compliance officer.
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Apollo Investment announces new CCO
The board of directors of Apollo Investment Corp. appointed Isabelle Gold as chief compliance officer, the company announced in an SEC filing.
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LGIM appoints chief compliance officer
Legal & General Investment Management announced the appointment of Camille Blackburn as chief compliance officer.
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BioPlus Specialty Pharmacy hires chief compliance and privacy officer
BioPlus Specialty Pharmacy has named Brian Cherico as its chief compliance and privacy officer.
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New York Life names new CCO
New York Life announced Sara Badler has been named chief compliance officer, effective Jan. 1, 2020. Badler succeeds Barbara McInerney, who will retire at the end of the year after over 20 years with the company.
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Smucker’s has a new chief compliance officer
The J. M. Smucker Company announced an evolution of its executive leadership structure and team. Among the new appointments, Jeannette Knudsen has been elected chief legal and compliance officer and secretary.
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ArticleSEC bars chief compliance officer for role in overbilling scheme
The former chief compliance officer of Yellowstone Partners, a now-defunct registered investment advisory firm, has been barred from practice for his role in an overbilling scheme that defrauded clients out of $11.8 million.
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TruClarity Wealth Advisors names chief compliance officer
TruClarity Wealth Advisors, an SEC-registered investment adviser launched in September 2019, has named Catherine Mustico as chief compliance officer.
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BNP Securities appoints new chief compliance officer
BNP Paribas recently announced the appointment of Theresa McCloskey as chief compliance officer for BNP Securities, the company’s registered broker-dealer and futures commission merchant.
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Capitala Group names chief compliance officer
Capitala Group, a provider of capital to lower middle market companies, has appointed Kevin Koonts as chief compliance officer and secretary of Capitala Finance.
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Aerie Pharmaceuticals appoints chief compliance officer
Aerie Pharmaceuticals has appointed Charlene Davis as vice president and chief compliance officer.
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Northwestern Mutual appoints chief compliance officer
Northwestern Mutual recently announced it has made several changes to the company’s senior leadership team, including the appointment of a new chief legal and compliance officer.
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Virtua Capital Management names chief compliance officer
Virtua Capital Management, the capital formation arm of global private-equity real-estate investment manager Virtua Partners, has appointed Curtis Christensen as chief compliance officer.
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TIAA adds chief risk and compliance officer
Financial services provider TIAA appointed David Nason to the newly created position of chief risk and compliance officer.
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CentralReach appoints chief legal and compliance officer
CentralReach, a provider of electronic health record and practice management solutions, has appointed Perry Pappas as senior vice president, chief legal and compliance officer.
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Handelsbanken appoints chief compliance officer
Handelsbanken, a Swedish consumer banking company, has announced the appointment of Martin Noréus as chief compliance officer.
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Embattled Swedbank names permanent CCO
Faced with numerous AML investigations, Swedbank made several significant moves this week, including naming a permanent CCO and agreeing to waive attorney-client privilege by handing over an internal report to local prosecutors.
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Extreme Reach names vice president of compliance
Extreme Reach, a tech platform for video ad campaigns, has appointed Catherine D’Amato to the newly created role of vice president of compliance.