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.
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.
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 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.
Telecommunications giant T-Mobile US announced Mark Nelson will join the company as executive vice president and general counsel.
Law firm Morgan Lewis announced the return of former Cognizant Chief Ethics and Compliance Officer Amy Schuh as a partner resident in Philadelphia.
Semiconductor manufacturer Analog Devices announced the appointment of Janene Asgeirsson as senior vice president, chief legal officer and corporate secretary.
Eiger BioPharmaceuticals announced the appointment of Erik Atkisson as general counsel and chief compliance officer.
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.”
U.K. insurer Aviva announced the promotion of Andrea Montague to chief risk officer.
Insurance Australia Group announced the resignation of Chief Risk Officer David Watts after three years on the job.
Private equity firm One Rock Capital Partners has named Fola Adamolekun as general counsel and chief compliance officer.
Cooper Standard, a global supplier of sealing and fluid handling systems, has appointed Rebecca McCabe as vice president, chief accounting officer.
Ingrid Harbo, Swedbank’s chief compliance officer during its ongoing recovery from a massive AML scandal, announced she will retire in March 2022.
Mark Robinson, GameStop’s chief ethics and compliance officer, has been promoted to serve as the company’s interim general counsel.
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.
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., 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.
The Commodity Futures Trading Commission will soon be down to two members with Democratic Commissioner Dan Berkovitz set to depart next month.
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.
Professional services firm Marsh McLennan has promoted Denise Sanchez to the position of chief compliance officer.
British Arab Commercial Bank announced the appointment of Ramita Dhillon as head of compliance.
Digital asset exchange Bittrex Global GmbH named Michael Schröder as chief compliance and risk officer.
Social media company Pinterest announced the impending departure of Chief Accounting Officer Lily Yang, effective Oct. 29.
Fast food chain McDonald’s has promoted veteran attorney Angie Steele to the role of U.S. general counsel.
Vivint Smart Home announced the appointment of Daniel Garen as chief ethics and compliance officer.
Pharmacy services provider Medvantx appointed Darlene Mitchell as chief compliance officer.
Clinical-stage biotechnology company Lineage Cell Therapeutics has named George A. Samuel III as general counsel and corporate secretary.
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, a kidney disease benefit management and care delivery company, announced the appointment of Shawn Verner as general counsel and chief compliance officer.
Green Dot, a financial technology and registered bank holding company, announced the appointment of Mike Althouse as chief compliance officer.
Global bank Santander Holdings USA announced the appointment of Ashwani Aggarwal as chief risk officer.
Electronic marketplace operator Tradeweb Markets announced the appointment of Devi Shanmugham as global head of compliance.
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.
Clinical-stage biopharmaceutical company Connect Biopharma Holdings Limited named Jiang Bian general counsel and chief compliance officer.
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.
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.
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.
Real estate-based investment company Pacific Oak announced the appointment of Matthew Mai as chief compliance officer.
Financial group MUFG Americas Holdings Corp. and its subsidiary MUFG Union Bank appointed Brian Gunn as chief risk officer.
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.
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.
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.
Waste management company Casella Waste Systems announced Vice President and Chief Accounting Officer Christopher Heald will retire in March.
Cleaning and business supply company Cintas Corp. has promoted Christy Nageleisen to the new position of vice president of ESG and chief compliance officer.
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.
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 Petroleum Corp. announced the appointment of Mark Holstein as general counsel.
Texas-based Frost Bank has added C.E. Rhodes to its executive team as group executive vice president, general counsel and corporate secretary.
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.