Compliance Officers on the Move: Dec. 9

The year-end rush of compliance jobs news is picking up. This week we have more departures from the SEC, a new global compliance chief for Daimler, a cleanup of oversight roles at Options Clearing Corp., and the head of regulatory compliance at RBS calling it quits—plus lots of other industry gossip.

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.

Compliance Jobs

First, the exodus from the Securities and Exchange Commission continues. This week saw Enforcement Director Andrew Ceresney and Corporation Finance Director Keith Higgins both give their notice; as well as Mark Flannery, the agency’s chief economist and director of the Risk Analysis Division.

The big news in the private sector this week: Daimler is changing its compliance leadership. Olaf Schick, 44, will take over as head of global compliance there on March 1, 2017. Schick has been with Daimler since 2004, and currently is CFO with Mercedes-Benz Russia. He replaces Wolfgang Herb, who will retire on Dec. 31 after 25 years with the automaker.

Speaking of retirement, Lavon Morton, senior vice president of risk and chief audit executive at ArcBest, will be stepping down from his roles there on Dec. 31 after 20 years at the company. The $2.7 billion logistics business, based in Arkansas, says it will divide Morton’s duties between two successors. Laura Bogner will be vice president of internal audit, and Cheryl Harper vice president of tax. Both are internal promotions.

David Hasler, senior director of global treasury at Walmart, is leaving the company. He has not yet disclosed his next career move. Hasler had worked a numerous finance roles at the retail giant since 2006.

Options Clearing Corp. has named a new chief compliance officer, as part of a larger executive reshuffle there to improve oversight. Joe Adamczyk, currently deputy general counsel, will be promoted to senior vice president and chief compliance officer immediately. He replaces former CCO Richard Wallace; no word on his fate. OCC also stole James Pribel away from the CME Group to fill the newly created role of first vice president for treasury.

We also noticed this week that Jon Pain, chief conduct and regulatory affairs officer at Royal Bank of Scotland, will be leaving the bank this month after three years on the job. According to a report in Sky News, his duties will be parceled out to other risk executives at the bank.

Compliance JobsDennis Barnes has a new job as vice president of governance, risk and compliance of Mayne Pharmaceuticals in Waltham, Mass. Barnes previously was head of compliance at Parexcel International, also in Waltham. (It’s a small world in those parts.)

Misonix, a medical devices maker in Philadelphia, has tapped Seth Whitelaw as interim chief compliance officer. Whitelaw is also editor of Life Science Compliance Update.

Over in Jakarta, Agustinus Nicholas Tobing has joined AIA Financial Indonesia as chief compliance officer. He previously was chief compliance officer for the Indonesia unit of Sun Life Financial for two years.

Tina Shaver has left her job as chief compliance officer at FirstMerit Bank to become a senior director at Treliant Risk Advisers.

Vendors and Service Providers

One of Baker McKenzie’s top international trade lawyers, Jasper Helder, just jumped ship to rival law firm Akin Gump. Helder worked at Baker McKenzie for seven years, and was chair of the firm’s EMEA international trade law group.

Customer win! Exari, a cloud-based provider of software to manage contract lifecycle management, just snagged Syngenta as a customer. The Swiss agribusiness giant says it will use Exari for all its contract management enterprise-wide.

The Wynyrd Group, a New Zealand-based GRC software firm that went into administration in October, has sold a large portion of its operations and risk management software suite to Resolver. As a result, Resolver will be opening offices in London and Christchurch, N.Z. We presume our invitation to visit New Zealand is en route.

Jobs I Saw on LinkedIn This Week

Sherwin-Williams is looking for a senior accountant for income tax and a corporate auditor who knows SOX compliance.

Visa is looking for a program manager to help build its data use and privacy program.

Yahoo is recruiting a manager for global IT audit.


In Arizona, Courtney Barton just hit one year as chief compliance officer at Anacor Pharmaceuticals.

Helen Carpio is celebrating one year at Liberty Mutual Insurance as principal IT compliance analyst.

Ingrid Harbo has hit five years as chief audit executive at Swedbank (in Sweden).

Steve Liccione is celebrating five years as director of compliance at Continental AG. Liccione is also one of the most friendly compliance professionals I have ever met.

And closing it out this week is Stephen Miller, this month celebrating 15 years as chief compliance officer at Capital Health System in New York.

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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