Compliance Officers on the Move: Oct 14

What’s new in compliance jobs this week? New hires at Baylor University, Watsco, Nasdaq and elsewhere, plus lots of work anniversaries and a few announcements from GRC vendors. Read on for the latest.

I gather these bits of gossip from LinkedIn, news alerts, and friends emailing me something to include. If you have a tip or want to brag about your new job, promotion, career milestone, or whatever—just email me at [email protected] or find me on LinkedIn.

New Jobs

Baylor University in Texas has named its first chief compliance officer: Doug Welch, who has been the university’s associate general counsel since 2006. Baylor has been under tough scrutiny lately for its mishandling of sexual misconduct complaints. In related news, the university also promoted Kristan Tucker to be Title IX coordinator. She previously was senior deputy coordinator for Title IX (the section of federal law that addresses sexual harassment on college campuses).

Sarah Whipple has taken a job as senior corporate and compliance counsel at Akebia Therapeutics, a biotech firm in Cambridge, Mass. She comes to Akebia from Aegerion Pharmaceuticals, where she held several compliance-related jobs since 2013.

Down in Miami, Watsco Inc. has named Colette Simo vice president of internal audit and compliance. Simo comes to Watsco, a distributor of HVAC equipment, from Office Max, where she had worked for eight years. Most recently she was the acting chief audit executive there.

Nasdaq has named Michael Kallens associate general counsel for ethics & compliance. He comes to the stock exchange from Booz Allen, where he held a similar role for seven years.


Congratulations on the new job.

Samantha Greves has been promoted at Duke Energy, from senior ethics analyst to lead ethics analyst. Greves has been at Duke Energy since 2015, and worked at NextEra Energy before that.

Siemens has re-assigned Diego Andres Pinzon, from local compliance officer in Colombia to compliance analyst in its Brazil operations. Pinzon has been with Siemens in one compliance role or another since 2008.

The Securites and Exchange Commission has named David Salteil head of the Office of Analytics & Research at its Division of Trading and Markets. He previously was chief economist at the Municipal Securities Rulemaking Board, and worked at the Treasury Department before that.

Vendor News

Stroz Friedberg, a risk consulting firm with a specialty in cybersecurity, has agreed to be acquired by Aon Risk Solutions. Stroz had 550+ staff in total, who will all be absorbed into the Aon empire. A purchase price was not disclosed.

The botique consulting firm Compliance Risk Concepts has picked up David Amster to head its fund and dealer advisory practice. Amster previously was chief compliance officer of CRT Capital’s broker-dealer unit.

Source Intelligence, a firm that provides due diligence on business partners with a particular angle on conflict minerals, has joined the Conflict-Free Sourcing Initiative as the first vendor to be part of its network.

Seth Whitelaw, editor of the Life Science Compliance Update, will be teaching a two-week course in January on compliance essentials for drug, biotech, and medical device companies. It is offered through the Mitchell Hamline School of Law.

Learnings & Entertainments, a compliance training startup that uses humor to deliver training via videos and other media, has launched its first product line: the “L&E Culture, Code & Speak Up Suites.” L&E is run by Ronnie Feldman, formerly of Second City Communications.


Jacqueline Silvarrendonda is celebrating one year at Citi Argentina, where she is a senior AML compliance analyst.

Brian Bridson has reached one year at Boeing, where he is ethics adviser and global ethics project coordinator. He works from Winnipeg, Manitoba.

In India, Mohan K.S. just hit one year at Hinduja Leyland Finance as head of internal audit.

Srinivas Bangarbale is celebrating five years as chief data officer for the Commodities and Futures Trading Commission.

Out in San Francisco, Jessica Beane just hit the five-year mark at Gap Inc. She currently is a compliance manager there.

Shauna Mullan-Smith celebrated her five-year anniversary at Universal Leaf Tobacco Co. in Richmond, Va. She is senior manager of compliance there.

Jennifer Britton has reached 10 years at Zions Bancorp, in a variety of compliance positions. She currently is corporate compliance officer there.

In Boston, Michael Wood just hit 10 years as controller and chief accounting officer at defense contractor Raytheon.

Scott Lane has reached 10 years as founder and CEO of the Red Flag Group, keeping it real from Hong Kong.

As I mentioned above, if you have any career moves you want the world to know, feel free to email me at [email protected] or find me on LinkedIn. We post this roundup every Friday, and I’m always happy to give credit to the many hard-working people here in our corner of the business universe.

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