GRC Appointments

PacWest Bancorp adds general counsel

2021-06-16T18:08:00+01:00By Scuttlebutt

Bank holding company PacWest Bancorp has appointed Angela Kelley as executive vice president, general counsel and corporate secretary.

Treasury Prime names general counsel, chief compliance officer

2021-06-16T18:03:00+01:00By Scuttlebutt

Banking as a service company Treasury Prime announced the appointment of Marty Roberts as general counsel and chief compliance officer.

XPO Logistics appoints CCO for planned spinoff

2021-06-16T17:59:00+01:00By Scuttlebutt

Contract logistics provider XPO Logistics announced Chief Compliance Officer Meagan Fitzsimmons will lead global ethics and compliance infrastructure at its planned spin-off, GXO Logistics.

Credit Suisse

Credit Suisse hires Goldman Sachs veteran as U.K. CCO


Credit Suisse has hired Nita Patel as its new chief compliance officer for the U.K. and EMEA regions. Of note, the bank was exposed to losses during the collapse of U.K. firm Greensill Capital.


SEC adds Renee Jones as Corporation Finance head; John Coates to be GC


The Securities and Exchange Commission has tapped Renee Jones to be director for the Division of Corporation Finance, while the division’s acting director, John Coates, is set to take over as the agency’s general counsel.

Guardian Life names chief ethics and compliance officer

2021-06-10T18:21:00+01:00By Scuttlebutt

The Guardian Life Insurance Company of America® announced Phil Pescatore will be its new chief ethics and compliance officer.

Bitstamp appoints U.S. chief compliance officer

2021-06-10T18:16:00+01:00By Scuttlebutt

Cryptocurrency exchange company Bitstamp announced the appointment of Thomas Hook as its U.S. chief compliance officer.

Activision Blizzard recruits chief legal officer from Boeing

2021-06-08T18:35:00+01:00By Scuttlebutt,

Video gaming company Activision Blizzard announced the appointment of Boeing’s Grant Dixton as its new chief legal officer.

Loomis adds chief risk officer

2021-06-08T18:31:00+01:00By Scuttlebutt

Cash handling company Loomis Group announced the appointment of Stellan Abrahamsson as chief risk officer, effective March 1, 2022.

USAA Real Estate names chief compliance officer

2021-06-07T20:12:00+01:00By Scuttlebutt

USAA Real Estate announced the appointment of Andra Purkalitis to its senior leadership team as executive managing director and chief compliance officer.

Options Clearing Corp. appoints chief risk officer

2021-06-07T19:35:00+01:00By Scuttlebutt

The Options Clearing Corporation, a derivatives clearing organization, announced the appointment of David Ye as chief risk officer and a member of its management committee.

SEC office

SEC ousts PCAOB head William Duhnke; larger overhaul planned


SEC Chair Gary Gensler removed William Duhnke III as head of the PCAOB while also announcing plans to replace the entire board of the audit regulator.

SEB replaces departing chief risk officer

2021-05-25T19:48:00+01:00By Scuttlebutt

Swedish financial institution SEB announced the appointment of Mats Holmström as chief risk officer to replace Magnus Agustsson, who is departing for the same position with Danske Bank.

Danske Bank

Danske Bank adds new chief risk officer from SEB


Danske Bank announced the appointment of Magnus Agustsson as its new chief risk officer. Agustsson will join the bank from SEB, where he held the same position.

Jane Norberg

Former SEC whistleblower head Jane Norberg joins Arnold & Porter


Jane Norberg, former head of the whistleblower office at the Securities and Exchange Commission, has joined D.C. law firm Arnold & Porter as a partner. names head of legal and compliance

2021-05-24T12:42:00+01:00By Scuttlebutt has named Lindsey Haswell as chief legal officer and chief administrative officer. In this role, she will be responsible for leading the legal, compliance, and HR teams for the cryptocurrency blockchain company.

Former Santander CCO joins K2 Integrity

2021-05-21T15:13:00+01:00By Scuttlebutt

Compliance monitoring firm K2 Integrity announced former Santander CCO Fred Springer has joined the firm as a senior managing director in its Financial Crimes Risk Management (FCRM) practice.

Melio hires former Amex exec as chief compliance officer

2021-05-21T15:10:00+01:00By Scuttlebutt

B2B payments company Melio announced the appointment of former American Express executive Jonathan Polk as general counsel and chief compliance officer.

Trinity Health tabs chief integrity and compliance officer

2021-05-21T15:07:00+01:00By Scuttlebutt

Trinity Health announced the appointment of Dawn Geisert as senior vice president and chief integrity and compliance officer.

USRA adds chief ethics and compliance officer

2021-05-21T15:04:00+01:00By Scuttlebutt

The Universities Space Research Association announced the appointment of Rochelle Ford as vice president, corporate affairs and governance. She will also serve as chief ethics and compliance officer.

Tiedemann appoints chief compliance officer

2021-05-21T14:56:00+01:00By Scuttlebutt

Independent investment and wealth advisor Tiedemann Advisors announced the appointment of Whitney Fogle Lewis as chief compliance officer and deputy general counsel.

Newbridge Financial Services names chief compliance officer

2021-05-21T14:53:00+01:00By Scuttlebutt

Newbridge Financial Services Group, an affiliate of Newbridge Financial, announced the promotion of Jennifer Dorfman to chief compliance officer.

GSR adds chief risk officer

2021-05-21T14:51:00+01:00By Scuttlebutt

Digital asset trading platform GSR announced the appointment of Jon Loflin as chief risk officer and managing director.

Deutsche Bank

Deutsche Bank names new group AML officer amid enhanced scrutiny


Deutsche Bank named Joe Salama global head of anti-financial crime and group anti-money laundering officer less than a month after its AML controls were criticized by German financial regulator BaFin.

​Circle appoints chief compliance and risk officer

2021-05-20T20:03:00+01:00By Scuttlebutt

Circle, a global financial technology firm, announced the appointment of Mandeep Walia as chief compliance and risk officer.

Hershey names general counsel

2021-05-20T19:55:00+01:00By Scuttlebutt

The Hershey Company promoted James Turoff to senior vice president, general counsel and secretary. Turoff has served as acting general counsel since December 2020.

Bed Bath & Beyond appoints chief accounting officer

2021-05-20T19:49:00+01:00By Scuttlebutt

Retailer Bed Bath & Beyond has named John Barresi to the newly created role of senior vice president of finance, chief accounting officer.


Michael Hsu named acting OCC head


Michael Hsu, a regulator at the Federal Reserve, has been named acting comptroller of the currency by U.S. Treasury Secretary Janet Yellen.

Credit Suisse

Credit Suisse risk committee head to depart amid board reshuffle


Andreas Gottschling, Credit Suisse’s board member in charge of its risk committee, has stepped down as fallout from the collapses of Archegos Capital and Greensill Capital continues to roil the bank.


Former IIA CEO Richard Chambers partners with AuditBoard


Richard Chambers, former president and CEO of the Institute of Internal Auditors, has partnered with AuditBoard as a senior internal audit advisor.

Siemens appoints new chief compliance officer

2021-05-03T14:02:00+01:00By Scuttlebutt

German technology giant Siemens announced the appointment of Annette Kraus as chief compliance officer.


DOJ FCPA head Christopher Cestaro to depart for WilmerHale


Christopher Cestaro, chief of the Justice Department’s FCPA Unit, is set to depart the agency for a partner position with law firm WilmerHale.


New SEC enforcement head Alex Oh resigns for personal reasons


Alex Oh resigned as head of the Securities and Exchange Commission’s Enforcement Division for personal reasons after less than one full week on the job.


JBS USA names global head of legal and compliance


JBS USA has named Kevin Arquit to the newly created role of chief legal officer. Arquit will be responsible for leading the company’s global legal, ethics, and compliance efforts.


Goldman Sachs hires chief risk officer back from Wells Fargo


Brian King will return to Goldman Sachs as consumer chief risk officer and head of business operations after seven months with Wells Fargo.


Citgo names Steven Scarpino as first stand-alone CECO


Citgo Petroleum Corp. announced the appointment of Steven Scarpino to serve as its first stand-alone chief ethics and compliance officer reporting directly to the CEO and audit committee of the board of directors.


SEC appoints Alex Oh to lead Enforcement Division


The Securities and Exchange Commission has named Alex Oh to lead an Enforcement Division expected to be more aggressive under new Chair Gary Gensler.


Coca-Cola replaces top legal counsel with CCO


The Coca-Cola Company has pushed out its top legal counsel after less than a year on the job and named its chief compliance officer to replace him.


Senate confirms Lisa Monaco as deputy attorney general


President Joe Biden’s nomination of Lisa Monaco to be deputy attorney general of the United States was confirmed by the Senate on Tuesday.


Danske Bank CEO, board member resign amid ABN AMRO probe


Danske Bank CEO Chris Vogelzang and board member Gerrit Zalm each resigned after being identified as suspects in ABN AMRO’s money laundering scandal. Chief Risk Officer Carsten Egeriis will take over as Danske’s CEO.

Former acting SEC enforcement head to join Simpson Thacher & Bartlett


Marc Berger, most recently acting director of the SEC’s Division of Enforcement, will join Simpson Thacher & Bartlett in June as a partner in its litigation department.

IEX Group appoints head of legal and compliance

2021-04-14T18:20:00+01:00By Scuttlebutt

IEX Group has appointed Rachel Barnett as chief legal officer. She will oversee all legal and compliance matters for the financial technology company.


Walmart ethics and compliance chief Daniel Trujillo to depart


Daniel Trujillo, executive vice president and global chief ethics and compliance officer at Walmart, is leaving the company “to pursue other opportunities,” according to an internal memo shared with employees.

Sprout Mortgage hires chief compliance officer

2021-04-13T14:41:00+01:00By Scuttlebutt

Sprout Mortgage announced the appointment of Laura LaRaia as executive vice president, general counsel, and chief compliance officer.


Biden to nominate former CCO to lead DOJ’s Criminal Division


President Joe Biden will nominate Kenneth Polite as assistant attorney general to lead the Department of Justice’s Criminal Division. Polite previously worked as chief compliance officer at Fortune 500 electric power company Entergy.

Jane Norberg

SEC whistleblower head Jane Norberg to depart


The head of the Securities and Exchange Commission’s whistleblower program, Jane Norberg, will leave her post later this month.

​Petal appoints chief compliance officer, general counsel

2021-04-08T15:49:00+01:00By Scuttlebutt

Credit card startup Petal announced the appointment of former CFPB official Elizabeth Corbett as general counsel and chief compliance officer.

Mr. Cooper Group names new chief risk and compliance officer

2021-04-07T13:18:00+01:00By Scuttlebutt

Mr. Cooper Group, a home loan service provider, announced the appointment of Kurt Johnson as executive vice president and chief risk and compliance officer.

Credit Suisse

Credit Suisse compliance chief steps down in Archegos collapse aftermath


Credit Suisse Chief Risk and Compliance Officer Lara Warner has stepped down from her role and left the company following the bank’s loss of an estimated $4.7 billion due to the meltdown of hedge fund Archegos Capital Management.


Outgoing FinCEN head Kenneth Blanco to join Citi as financial crimes CCO


Kenneth Blanco has been tapped to lead a new financial crimes unit at Citi following his departure as director of the Treasury Department’s Financial Crimes Enforcement Network later this week.