compliance jobs

The Compliance Jobs Report is back, and we have a lot to dig through from the holiday break! Compliance personnel on the move at Duke Energy, a new audit chief at GE, and more news from Pandora, Cox Enterprises, the VHA, and many more. We have three job openings in the Northeast to note, and…

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pandemic

The PCAOB just published a mid-pandemic progress report on how audit firms are handling their work during coronavirus. Compliance and audit executives may want to give it a read for hints about how auditors are trying to inspect your internal controls and which risks are high priority. The report, Staff Observations and Reminders During the…

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Who knew, compliance officers, that we could spend Thanksgiving weekend musing over yet another example of tone-deaf leadership and the damage it can do to corporate culture? Yet we can do precisely that thanks to Michael Hancock, mayor of Denver.  Those of you in Colorado may already know the story. Hancock, like every other sensible…

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apple

A grand jury indicted one of Apple’s top compliance executives on Monday for offering 200 iPads to a local sheriff’s office in exchange for concealed weapons permits.  Tom Moyer, currently Apple’s head of global security and chief compliance officer from 2009 to 2018, was indicted in Santa Clara County on one count of bribing an…

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bank

The Trump Administration is trying to push through a rule that would neuter banks’ ability to consider ethics and reputation issues when offering services — a kiss to the oil & gas industry, and one that would undermine banks’ ability to consider social and ethical factors when evaluating business relationships. The Office of the Comptroller…

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compliance jobs

This week the Compliance Jobs Report has new hires at Augusta University, Bittrex, Fanatics, and several community banks, plus a flock of internal promotions. A compliance vendor just raised a boatload of capital, and we have job openings to note in boxes and banking. And our Meme of the Week! As always, thank you to…

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insider

Two top officials at the Securities and Exchange Commission warned this week that companies should pay more heed to the policies they use to govern senior executives’ stock sales, to prevent even the appearance of impropriety when an executive is selling shares.  The comments came from Bill Hinman, director of the Division of Corporation Finance,…

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fcpa

You know those progress reports the OECD publishes from time to time about the anti-corruption enforcement among countries around the world? Well, the group just published its latest report on the United States and gave the country generally high marks.  That should come as no surprise to compliance officers, who have witnessed the U.S. government’s…

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wells fargo

The Securities and Exchange Commission has charged two former top executives at Wells Fargo with misleading investors about the bank’s financial performance — the latest chapter in the endless saga of regulators trying to hold Wells Fargo folks accountable for the bank’s disastrously bad behavior.  The SEC charged John Stumpf, who had been CEO of…

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compliance jobs

Another big Compliance Jobs Report this week. We have people leaving Etihad Airways, FirstEnergy, Duke University, and elsewhere; promotions at Endo, Citigroup, and Smucker’s, to name a few. New people hired at Ares Management, COPEC, and more. Plus our usual job openings of note and our Meme of the Week. As always, thank you to…

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