The Compliance Jobs Report this week has two new hires at Takeda, plus more hiring news at BAE, John Deere, S&P Mobility, and the Supreme Court of Ohio, and elsewhere. Promotions to note at AbbVie, Bilfinger, Global Fund, and more; job leads are in pharmaceuticals, data centers, and aerospace (no, not SpaceX). We gather the…
The Commodity Futures Trading Commission wants to streamline its whistleblower rewards program, including a proposal that all small-dollar awards will be set at the maximum percentage allowed under federal law. Now that the CFTC is making a play to regulate prediction markets, this somewhat obscure move could be more relevant to compliance officers than it…
The Securities and Exchange Commission has fired a few compliance warning shots to registered investment advisers this week, with a bulletin urging RIAs to do better at disclosing conflicts of interest — and an enforcement action against an RIA and its former CEO for disclosure failures, too! We can start with the enforcement action, announced…
A fun project I did this spring was “Compliance AI School,” a training course I developed with software vendor Ethena to introduce compliance officers to basic artificial intelligence tools and how you might use them. One class explored how to use AI to build videos for compliance training, and today I want to talk about…
Lots of news in the Compliance Jobs Report this week. Danske Bank is integrating its risk and compliance operations with a joint chief; hiring news at Wake Forest University, Wise, and elsewhere. Promotions to note at 3M, Oliver Wyman, MUFG, Swiggy, and more. Job leads are in insurance, marketing software, and nature! We gather the…
The U.S. Treasury Department has dinged FTI Consulting $1.05 million for its dealings with a sanctioned Russian bank, in what clearly is a warning shot to other global business that no, you cannot avoid sanctions liability by relying on indirect financial relationships managed through intermediate parties. Sanctions compliance teams, take note. The Office of Foreign…
Last week I had the good fortune to moderate a webinar on every compliance officer’s favorite subject: investigations! (And all the ways they can go wrong.) As usual, the conversation was excellent and I took lots of notes; which I now pass them along now for whatever they might be worth. One great insight came…
This week the Compliance Jobs Report has compliance hiring updates from Imprint, Versigent, Bank of London, an AI division at Royal Bank of Canada, and maybe from Target? We also have a few promotions to note, plus job leads in healthcare, food, and mortgage lending. Plus our Meme of the Week! We gather the Jobs…
Compliance professionals, let’s have another conversation about the job market. You probably think it’s terrible, and you’re probably not wrong; but it never hurts to compare notes and unpack why the job market is the way it is lately. Here’s what I’ve noticed after 11 years of compiling the Compliance Jobs Report every Friday. For…
Foot Locker is paying $148,000 to settle charges from the Securities and Exchange Commission that the company included “pretaliation” language in employee severance agreements as recently as 2024. The case is our latest reminder pretaliation blunders still exist, and that companies should fix these unforced errors of corporate compliance double-quick. Foot Locker and the SEC…
