GRC Appointments


Dan Berkovitz

Departing CFTC commissioner to join SEC as general counsel

2021-09-28T15:58:00+01:00By

Dan Berkovitz has signed on to become general counsel at the SEC less than three weeks since announcing his intention to step down as a commissioner at the CFTC.

OCC

Biden’s pick to head OCC favors tighter regulation of FinTech

2021-09-24T20:02:00+01:00By

President Joe Biden’s nominee for Comptroller of the Currency, Cornell law professor Saule Omarova, continues a Democratic pattern of choosing potential regulators who believe in stricter control of the markets.

Former Cigna CCO joins Berkeley Research Group

2021-09-22T18:34:00+01:00By Scuttlebutt

Consultant Berkeley Research Group announced the hiring of former Cigna Global Chief Compliance Officer Tom O’Neil to be a managing director in its Health Analytics practice.

The Hartford names chief ethics and compliance officer

2021-09-21T21:31:00+01:00By Scuttlebutt

The Hartford has appointed Charlene Ridgeway as chief ethics and compliance officer. She takes over the role from Colleen Pernerewski, who was appointed deputy general counsel and head of business law.

​T-Mobile US recruits general counsel

2021-09-21T20:52:00+01:00By Scuttlebutt

Telecommunications giant T-Mobile US announced Mark Nelson will join the company as executive vice president and general counsel.

​Ex-Cognizant CECO returns to Morgan Lewis

2021-09-21T20:50:00+01:00By Scuttlebutt

Law firm Morgan Lewis announced the return of former Cognizant Chief Ethics and Compliance Officer Amy Schuh as a partner resident in Philadelphia.

Analog Devices appoints chief legal officer

2021-09-21T20:47:00+01:00By Scuttlebutt

Semiconductor manufacturer Analog Devices announced the appointment of Janene Asgeirsson as senior vice president, chief legal officer and corporate secretary.

Eiger BioPharmaceuticals adds chief compliance officer

2021-09-21T20:45:00+01:00By Scuttlebutt

Eiger BioPharmaceuticals announced the appointment of Erik Atkisson as general counsel and chief compliance officer.

Activision

Embattled Activision Blizzard confirms SEC subpoenas

2021-09-21T19:52:00+01:00By

Activision Blizzard confirmed the company and several of its current and former employees and executives received subpoenas from the SEC “regarding disclosures on employment matters and related issues.”

Aviva promotes within for chief risk officer

2021-09-21T19:15:00+01:00By Scuttlebutt

U.K. insurer Aviva announced the promotion of Andrea Montague to chief risk officer.

Insurance Australia Group chief risk officer resigns

2021-09-21T19:10:00+01:00By Scuttlebutt

Insurance Australia Group announced the resignation of Chief Risk Officer David Watts after three years on the job.

One Rock names general counsel, chief compliance officer

2021-09-21T18:53:00+01:00By Scuttlebutt

Private equity firm One Rock Capital Partners has named Fola Adamolekun as general counsel and chief compliance officer.

Cooper Standard appoints chief accounting officer

2021-09-21T18:47:00+01:00By Scuttlebutt

Cooper Standard, a global supplier of sealing and fluid handling systems, has appointed Rebecca McCabe as vice president, chief accounting officer.

Swedbank

Swedbank CCO lauded for role in AML rebound to retire

2021-09-21T15:16:00+01:00By

Ingrid Harbo, Swedbank’s chief compliance officer during its ongoing recovery from a massive AML scandal, announced she will retire in March 2022.

GameStop sign

GameStop CECO named interim general counsel

2021-09-17T16:00:00+01:00By

Mark Robinson, GameStop’s chief ethics and compliance officer, has been promoted to serve as the company’s interim general counsel.

Rostin Behnam

Biden nominates 3 to CFTC, including Rostin Behnam as chair

2021-09-14T12:56:00+01:00By

President Joe Biden announced the nomination of three individuals to serve as commissioners at the Commodity Futures Trading Commission, including the naming of Rostin Behnam as the agency’s full-time chair.

Bank of America

Bank of America names compliance head amid leadership shakeup

2021-09-13T19:19:00+01:00By

As part of a host of senior management changes, Bank of America has named Amy Littman to be its new head of global compliance and operational risk.

ODP Corp. chief accounting officer to depart

2021-09-13T18:58:00+01:00By Scuttlebutt

ODP Corp., parent company of OfficeMax and other business services providers, announced Senior Vice President and Chief Accounting Officer Richard Haas will leave the company, effective April 1, 2022.

Dan Berkovitz

Dan Berkovitz departure to leave CFTC with 2 commissioners

2021-09-09T19:29:00+01:00By

The Commodity Futures Trading Commission will soon be down to two members with Democratic Commissioner Dan Berkovitz set to depart next month.

Credit Suisse sign

Credit Suisse appoints Rafael Lopez Lorenzo as chief compliance officer

2021-09-08T16:14:00+01:00By

Credit Suisse has named Rafael Lopez Lorenzo as its chief compliance officer, five months removed from his predecessor stepping down in the wake of massive losses caused by the collapses of Archegos Capital Management and Greensill Capital.

Marsh McLennan promotes chief compliance officer

2021-09-07T17:37:00+01:00By Scuttlebutt

Professional services firm Marsh McLennan has promoted Denise Sanchez to the position of chief compliance officer.

British Arab Commercial Bank appoints new head of compliance

2021-09-07T17:33:00+01:00By Scuttlebutt

British Arab Commercial Bank announced the appointment of Ramita Dhillon as head of compliance.

Bittrex Global names chief compliance and risk officer

2021-09-07T17:30:00+01:00By Scuttlebutt

Digital asset exchange Bittrex Global GmbH named Michael Schröder as chief compliance and risk officer.

​Pinterest chief accounting officer to depart

2021-09-03T14:00:00+01:00By Scuttlebutt

Social media company Pinterest announced the impending departure of Chief Accounting Officer Lily Yang, effective Oct. 29.

AdobeStock_339110071_Editorial_Use_Only

​McDonald’s promotes U.S. general counsel

2021-09-03T13:57:00+01:00By

Fast food chain McDonald’s has promoted veteran attorney Angie Steele to the role of U.S. general counsel.

Vivint adds chief ethics and compliance officer

2021-09-01T19:57:00+01:00By Scuttlebutt

Vivint Smart Home announced the appointment of Daniel Garen as chief ethics and compliance officer.

Medvantx appoints chief compliance officer

2021-09-01T19:53:00+01:00By Scuttlebutt

Pharmacy services provider Medvantx appointed Darlene Mitchell as chief compliance officer.

Lineage Cell Therapeutics names general counsel

2021-09-01T19:49:00+01:00By Scuttlebutt

Clinical-stage biotechnology company Lineage Cell Therapeutics has named George A. Samuel III as general counsel and corporate secretary.

NYC skyline

Adrienne Harris nominated to lead NYDFS

2021-09-01T15:40:00+01:00By

The new head of New York’s Department of Financial Services is expected to be Adrienne Harris, who was nominated to the post by Gov. Kathy Hochul.

Monogram Health names chief compliance officer

2021-08-27T15:56:00+01:00By Scuttlebutt

Monogram Health, a kidney disease benefit management and care delivery company, announced the appointment of Shawn Verner as general counsel and chief compliance officer.

Green Dot appoints chief compliance officer

2021-08-27T15:41:00+01:00By Scuttlebutt

Green Dot, a financial technology and registered bank holding company, announced the appointment of Mike Althouse as chief compliance officer.

Santander Holdings USA names chief risk officer

2021-08-25T19:22:00+01:00By Scuttlebutt

Global bank Santander Holdings USA announced the appointment of Ashwani Aggarwal as chief risk officer.

Tradeweb Markets recruits global compliance head from Bloomberg

2021-08-25T19:17:00+01:00By Scuttlebutt

Electronic marketplace operator Tradeweb Markets announced the appointment of Devi Shanmugham as global head of compliance.

Jackson Financial adds general counsel for split from Prudential

2021-08-25T19:11:00+01:00By Scuttlebutt

Investment holding company Jackson Financial announced the addition of Carrie Chelko as executive vice president. Chelko is expected to assume the role of general counsel and secretary following Jackson’s planned separation from Prudential on Sept. 13.

Connect Biopharma hires chief compliance officer

2021-08-25T19:03:00+01:00By Scuttlebutt

Clinical-stage biopharmaceutical company Connect Biopharma Holdings Limited named Jiang Bian general counsel and chief compliance officer.

Greensill Capital

What went wrong at Greensill Capital? Former risk chief shares his view

2021-08-25T15:59:00+01:00By

Brett Downes, the chief risk officer at Greensill Capital for five years before the company filed for insolvency, explains what factors he believes led to the supply chain finance startup’s abrupt collapse.

PCAOB

Two PCAOB members resign ahead of SEC overhaul

2021-08-23T20:47:00+01:00By

Rebekah Goshorn Jurata and Megan Zietsman have announced they will resign, meaning the PCAOB could soon be left with one active member ahead of SEC plans to clean house at the audit regulator.

CFTC

CFTC due for shakeup with Brian Quintenz set to depart

2021-08-20T15:21:00+01:00By

The Commodity Futures Trading Commission will soon be down to three active commissioners, as Brian Quintenz announced he will depart the regulator at the end of the month.

Pacific Oak appoints chief compliance officer

2021-08-19T18:30:00+01:00By Scuttlebutt

Real estate-based investment company Pacific Oak announced the appointment of Matthew Mai as chief compliance officer.

MUFG Americas names chief risk officer

2021-08-19T18:27:00+01:00By Scuttlebutt

Financial group MUFG Americas Holdings Corp. and its subsidiary MUFG Union Bank appointed Brian Gunn as chief risk officer.

Palladium Equity Partners promotes chief compliance officer

2021-08-19T18:19:00+01:00By Scuttlebutt

Private equity firm Palladium Equity Partners has promoted Dominick Barbieri to general counsel and chief compliance officer, with former CCO Eugenie-Cesar Fabian appointed head of ESG and sustainability.

Matt Miner

​Walmart adds ex-DOJ attorney as chief ethics and compliance officer

2021-08-19T14:30:00+01:00By

Walmart announced the appointment of Matt Miner, the “architect” of the Justice Department’s Evaluation of Corporate Compliance Programs guidance, as executive vice president and global chief ethics and compliance officer.

SEC

SEC appoints Sanjay Wadhwa as enforcement deputy director

2021-08-18T19:52:00+01:00By

The SEC named veteran attorney Sanjay Wadhwa deputy director of its Enforcement Division. Wadhwa most recently managed 150 personnel as co-head of enforcement at the agency’s New York office.

Casella Waste Systems chief accounting officer to retire

2021-08-17T22:16:00+01:00By Scuttlebutt

Waste management company Casella Waste Systems announced Vice President and Chief Accounting Officer Christopher Heald will retire in March.

Cintas Corp. names chief compliance officer

2021-08-17T22:11:00+01:00By Scuttlebutt

Cleaning and business supply company Cintas Corp. has promoted Christy Nageleisen to the new position of vice president of ESG and chief compliance officer.

Credit Suisse

Rebuilding Credit Suisse nominates risk management veterans to board

2021-08-17T17:27:00+01:00By

In a continuing overhaul of its risk and compliance leadership, Credit Suisse announced the nominations of Axel Lehmann and Juan Colombas to serve as non-executive members of its board.

DOJSeal

David Last named permanent head of DOJ’s FCPA Unit

2021-08-13T17:16:00+01:00By

The Department of Justice has named David Last to be the permanent chief of its Foreign Corrupt Practices Act Unit, following his being appointed acting head in April.

Citgo appoints new general counsel

2021-08-12T18:10:00+01:00By Scuttlebutt

Citgo Petroleum Corp. announced the appointment of Mark Holstein as general counsel.

Frost Bank adds general counsel

2021-08-12T18:07:00+01:00By Scuttlebutt

Texas-based Frost Bank has added C.E. Rhodes to its executive team as group executive vice president, general counsel and corporate secretary.

Marathon Asset Management CCO assumes chief legal officer duties

2021-08-11T18:32:00+01:00By Scuttlebutt

Global investment management firm Marathon Asset Management announced several changes in leadership, including the addition of chief legal officer duties to the responsibilities of its chief compliance officer.