- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Card issuing platform Marqeta announced the appointment of Alan Carlisle as chief compliance officer.
Carlisle was previously enterprise chief compliance officer at SoFi, a publicly traded online personal finance company and bank.
Before that, he spent more than a decade in senior executive roles at financial services companies, ranging from crowdfunding platforms to marketplace lenders.
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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.
UnitedHealth Group’s response to a major cyberattack in February that wreaked havoc with medical payments nationwide has been “inadequate” and must be improved immediately, a group of 22 state attorneys general told the company.
Zoom Chief Privacy Officer Lynn Haaland discusses with Compliance Week the market forces that led the company to offer Zoom Compliance Manager, which helps firms handle off-channel communications issues on the platform.
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