- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The U.K.-based Finance & Leasing Association appointed Admiral Money’s Chief Risk and Compliance Officer Emma Powell to its board of directors.
With more than 18 years of experience in financial services, Powell has served in a number of senior leadership roles, including head of compliance and risk at Admiral Money and chief operating officer, prior to her current role as chief risk officer.
Compliance Week accepts outside contributions from corporate chief compliance officers and other senior-level GRC practitioners. To learn more, contact the CW Editor.
Companies would be wise to prepare to comply with the Federal Trade Commission’s rule to ban noncompete clauses, despite legal challenges that might delay or prevent it taking effect altogether.
Despite significant issues outside the control of most chief compliance officers, some regulators have signaled more individual liability cases are to be expected. Will accepting the wrong job, in hindsight, make it your last?
RBC Capital Markets agreed to pay nearly $769,000 to settle allegations levied by the Financial Industry Regulatory Authority, in part, over sending inaccurate information in trade confirmations to customers over nearly a decade.
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