BNP Securities appoints new chief compliance officer

2019-10-18T19:07:00+01:00By Scuttlebutt

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.

Micron appoints chief accounting officer

2019-10-18T17:28:00+01:00By Scuttlebutt

Micron Technology has appointed Paul Marosvari to the newly created role of vice president and chief accounting officer.

Intrepid Potash chief accounting officer resigns

2019-10-18T15:04:00+01:00By Scuttlebutt

Fertilizer manufacturer company Intrepid Potash announced Joseph Montoya, current vice president and chief accounting officer, will be resigning to pursue another career opportunity.

Genesco names new general counsel

2019-10-16T18:09:00+01:00By Scuttlebutt

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.

​Capitala Group names chief compliance officer

2019-10-16T15:17:00+01:00By Scuttlebutt

Capitala Group, a provider of capital to lower middle market companies, has appointed Kevin Koonts as chief compliance officer and secretary of Capitala Finance.

Board table

PCAOB swaps board members, faces whistleblower report


The SEC has ousted Kathleen Hamm as a board member at the PCAOB, replacing her with White House aide Rebekah Goshorn Jurata. The swap, along with a whistleblower report, signal internal strife at the audit regulator.

Gateway First Bank names chief risk officer

2019-10-15T19:17:00+01:00By Scuttlebutt

Gateway First Bank has appointed Peter Moenickheim as chief risk officer. His responsibilities will span all efforts in enterprise risk management, compliance, and quantitative analytics.

FTC Building

FTC antitrust head to step down


Bruce Hoffman, director of the Bureau of Competition, will depart the Federal Trade Commission in November after more than two years in his position.


ProPetro shuffles leadership team amid accounting probe


ProPetro Holding has announced a shuffling of its executive leadership team following the completion of a review conducted by its audit committee into a series of internal control failures.

Walt Disney Company CFO joins P&G board

2019-10-09T14:04:00+01:00By Scuttlebutt

Procter & Gamble at its 2019 Annual Meeting of Shareholders elected Christine McCarthy, currently chief financial officer of The Walt Disney Company, to its board of directors, effective immediately.

​SEC names associate regional director in Los Angeles office

2019-10-08T18:23:00+01:00By Scuttlebutt

The Securities and Exchange Commission has named Katharine Zoladz as associate regional director for enforcement in the Los Angeles Regional Office.

Aerie Pharmaceuticals appoints chief compliance officer

2019-10-08T14:48:00+01:00By Scuttlebutt

Aerie Pharmaceuticals has appointed Charlene Davis as vice president and chief compliance officer.

​Pay.UK appoints chief risk officer

2019-10-07T17:26:00+01:00By Scuttlebutt

Pay.UK announced it has appointed Helen Hunter-Jones as chief risk officer.

CFPB adds new executives

2019-10-02T14:55:00+01:00By Scuttlebutt

The Consumer Financial Protection Bureau recently announced several new additions to its executive team, including the appointment of Bryan Schneider as associate director in the Supervision, Enforcement and Fair Lending Division.

​Zurich appoints group chief risk officer

2019-09-27T15:09:00+01:00By Scuttlebutt

Zurich Insurance Group has named Peter Giger as group chief risk officer, effective Oct. 1.

Northwestern Mutual appoints chief compliance officer

2019-09-27T15:03:00+01:00By Scuttlebutt

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.

​Virtua Capital Management names chief compliance officer

2019-09-27T14:53:00+01:00By Scuttlebutt

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.

TIAA adds chief risk and compliance officer

2019-09-27T14:49:00+01:00By Scuttlebutt

Financial services provider TIAA appointed David Nason to the newly created position of chief risk and compliance officer.

​CentralReach appoints chief legal and compliance officer

2019-09-26T18:43:00+01:00By Scuttlebutt

CentralReach, a provider of electronic health record and practice management solutions, has appointed Perry Pappas as senior vice president, chief legal and compliance officer.

Lloyd’s of London appoints chief risk officer


Lloyd’s of London, the specialist insurance and reinsurance marketplace, announced the appointment of David Sansom as its permanent chief risk officer.

Handelsbanken appoints chief compliance officer

2019-09-19T15:52:00+01:00By Scuttlebutt

Handelsbanken, a Swedish consumer banking company, has announced the appointment of Martin Noréus as chief compliance officer.


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.

Zimmer Biomet appoints chief accounting officer

2019-09-18T13:20:00+01:00By Scuttlebutt

Zimmer Biomet Holdings disclosed in a securities filing it has appointed Carrie Nichol as controller and chief accounting officer, effective Oct. 1. In this position, Nichol will serve as the company’s principal accounting officer.

Goldman Sachs appoints chief risk officer, new chief accounting officer

2019-09-17T14:19:00+01:00By Scuttlebutt

Goldman Sachs disclosed in a securities filing it has appointed both a new chief risk officer and a new principal accounting officer, effective Nov. 4.

​Extreme Reach names vice president of compliance

2019-09-16T18:56:00+01:00By Scuttlebutt

Extreme Reach, a tech platform for video ad campaigns, has appointed Catherine D’Amato to the newly created role of vice president of compliance.

​American Riviera Bank names chief compliance and risk officer

2019-09-12T16:51:00+01:00By Scuttlebutt

American Riviera Bank has named Laurel Sykes as executive vice president, chief compliance and risk officer.

​Pangea Money Transfer appoints chief compliance officer

2019-09-12T16:44:00+01:00By Scuttlebutt

Pangea Money Transfer, a mobile-centric money-transfer platform, announced it has appointed Alex Levine as general counsel and chief compliance officer.

James Daly retiring from SEC

2019-09-12T16:16:00+01:00By Scuttlebutt

James Daly, Division of Corporation Finance Associate Director, will retire at the end of September after more than 38 years of service with the SEC.

Spotify chief accounting officer resigns

2019-09-12T14:51:00+01:00By Scuttlebutt

Spotify Technology, a Swedish media-services provider, disclosed in a filing with the SEC that Luca Baratta will resign from his position as chief accounting officer.

Nasdaq has a new chief legal officer

2019-09-06T17:06:00+01:00By Scuttlebutt

Nasdaq has named John Zecca as executive vice president and chief legal officer, responsible for managing Nasdaq’s regulatory oversight, legal counsel, and compliance across the company’s global businesses.

Mezu appoints its first chief compliance and risk officer

2019-09-06T16:45:00+01:00By Scuttlebutt

Mezu, a mobile payments app provider, has promoted Luis Trujillo to the newly created role of chief compliance and risk officer. He will report directly to Mezu’s board of directors.

Paysafe appoints chief risk officer

2019-09-06T16:38:00+01:00By Scuttlebutt

Paysafe Group, a global payments provider, has named Richard Swales as chief risk officer, effective Oct. 14.

Gemini adds chief compliance officer

2019-09-05T15:48:00+01:00By Scuttlebutt

Cryptocurrency exchange Gemini Trust Company announced Noah Perlman has joined as its new chief compliance officer.

Kadmon appoints general counsel, chief compliance officer

2019-09-04T19:42:00+01:00By Scuttlebutt

Kadmon Holdings announced the appointment of Gregory Moss as executive vice president, general counsel, and corporate secretary. Moss will also serve as chief compliance officer.

SEC names San Francisco associate regional director

2019-09-04T19:39:00+01:00By Scuttlebutt

The SEC announced Monique Winkler has been named associate regional director for enforcement in the San Francisco Regional Office.

Comcast deputy general counsel joins BakerHostetler

2019-09-04T15:12:00+01:00By Scuttlebutt

Daniel Pepper has left his role as deputy general counsel and deputy privacy officer at Comcast to join BakerHostetler as a partner.

​BankUnited promotes chief risk officer

2019-09-04T14:04:00+01:00By Scuttlebutt

BankUnited announced Jay Richards has been promoted from chief credit officer to chief risk officer, assuming the role of Mark Bagnoli, who will retire.

​FIFA chief compliance officer joins DLA Piper


Global law firm DLA Piper announced that Edward Hanover, former chief compliance officer at FIFA, will join the firm’s litigation practice as a partner in Northern California based in its Silicon Valley office.

Antitrust Division names new senior director of investigation and litigation

2019-08-29T15:17:00+01:00By Scuttlebutt

The Department of Justice’s Antitrust Division announced the elevation of Section Chief Kathy O’Neill to the new role of senior director of investigation and litigation.


SAExploration ousts senior leadership amid SEC probe


SAExploration Holdings announced the SEC has launched an investigation into areas of its accounting from 2015-16. The company also disclosed a significant reshuffling of its senior leadership team.

Midland States names chief accounting officer

2019-08-26T15:06:00+01:00By Scuttlebutt

Midland States Bancorp announced the promotion of Donald Spring to chief accounting officer.

Walmart adds two compliance execs

2019-08-23T17:40:00+01:00By Scuttlebutt

Walmart announced the hiring of Emma Waddell as vice president of financial services compliance and Joe Rodriguez as lead counsel of financial services.

Fidelity National Information Services names chief accounting officer

2019-08-23T17:28:00+01:00By Scuttlebutt

Fidelity National Information Services announced in a Form 8-K the appointment of Christopher Thompson as chief accounting officer.

Jaguar Health appoints chief accounting officer

2019-08-23T17:24:00+01:00By Scuttlebutt

Jaguar Health announced the promotion of Carol Lizak to chief accounting officer. Lizak formerly served as Jaguar’s vice president of finance and corporate controller.

American Airlines hires general counsel

2019-08-23T17:22:00+01:00By Scuttlebutt

American Airlines announced Priya Aiyar has been named senior vice president and general counsel, succeeding Paul Jones, who retired from American earlier this year.

​Penn State names chief risk officer

2019-08-13T15:29:00+01:00By Scuttlebutt

Penn State has named Jennifer Santiago as its new assistant vice president of risk management and University risk officer, effective Sept. 12.


Still under probation, Carnival names chief ethics and compliance officer


Under probation for a history of environmental violations and ordered to restructure its compliance program, Carnival has appointed a new chief ethics and compliance officer as well as a vice president of corporate environmental compliance.

Maxar Technologies appoints chief accounting officer

2019-08-09T17:35:00+01:00By Scuttlebutt

Maxar Technologies, a provider of advanced space technology solutions, has appointed Carolyn Pittman as chief accounting officer. She became the company’s principal accounting officer on Aug. 7.

​HDI Global appoints general counsel and corporate secretary

2019-08-09T17:12:00+01:00By Scuttlebutt

HDI Global Insurance (HDI) has appointed Patricia Ryan as general counsel and corporate secretary with immediate effect.

​Athena Capital appoints chief compliance officer

2019-08-07T17:22:00+01:00By Scuttlebutt

Athena Capital Advisors, a privately owned registered investment advisor, has appointed Beth Lehman as deputy general counsel and chief compliance officer.