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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By CW Staff2019-09-27T15:03:00
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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News and analysis for the well-informed compliance or audit exec.
Annual Membership best value
Subscribe now for $365
Our lowest price ($1 per day) for one year.
Register for free
Receive the CW newsletter and access CPE webcasts.
2019-10-29T19:57:00Z By CW Staff
TruClarity Wealth Advisors, an SEC-registered investment adviser launched in September 2019, has named Catherine Mustico as chief compliance officer.
2019-10-18T19:07:00Z By CW Staff
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.
2019-10-16T18:09:00Z By CW Staff
Genesco has appointed Scott Becker as senior vice president, general counsel, and corporate secretary. He succeeds Roger Sisson, who retired from Genesco earlier this year.
2024-07-23T16:57:00Z By Jeff Dale
The Financial Industry Regulatory Authority announced the appointments of Tina Gubb, effective Monday, and Julie Glynn, effective Sept. 1, as senior vice presidents of enforcement.
2024-07-23T15:46:00Z By CW Staff
Seminole Hard Rock Support Services announced the promotion of Chief Diversity and Inclusion Officer Stephanie Piimauna to senior vice president of people and inclusion.
2024-07-23T15:44:00Z By CW Staff
Luxury group Kering Americas announced the promotion of General Counsel Ewa Abrams to president, effective Aug. 1.
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