Compliance Officers on the Move: Dec. 16

This week we have compliance jobs news from FINRA (departing enforcement chief) and the SEC (internal promotion), as well as promotions or new jobs for compliance professionals at SCOR, Abbott Labs, Calsonic, and elsewhere.

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 News

As always, we start with the regulators who make compliance officers’ lives so interesting…

Brad Bennett, director of enforcement at FINRA for almost six years, is leaving the organization to return to private practice. We don’t know exactly where Bennett might land, but prior to FINRA he worked at law firm Baker Botts for 10 years. FINRA says it has begun a search for new enforcement chief.

The Securities and Exchange Commission has named Narahari Phatak associate director for policy in the Division of Economic and Risk Analysis. Phatak has worked as a staffer within DERA since 2011. He will report to DERA director Mark Flannery only until Dec. 31, when Flannery himself leaves the agency ahead of the incoming Trump Administration.

Compliance Jobs

Congratulations on the new job.

Calsonic Kansei Corp. has re-assigned Ramón Ruvalcaba Alonso to a new role based in Mexico. Alonso had been head of business process re-engineering for the automotive equipment firm in Tennessee; he now is head of business process re-engineering and IT for the company’s Mexico operation.

In Washington, D.C., Brian Pattison has taken a new job as assistant inspector general for the Department of Housing and Urban Development. Pattison previously spent nearly four years as head of audits and investigations for Integrity Management Services.

University of Minnesota Physicians has named Brenda Manning director of privacy and regulatory affairs. Manning previously spent 16 years at R&B Solutions, a consulting firm offering compliance, privacy, and risk management services. Given the weather in Minnesota this week, we will send Manning a Radical Compliance wool hat.

SCOR, an insurance firm, has promoted Felix Vargas from deputy head of internal audit to global deputy head. Vargas has been with SCOR since 2012.

Tim Ferriss has a new job as health systems policy manager for the University of California-San Diego. Ferriss previously worked as a compliance specialist for the Alaska Native Tribal Health Consortium in Anchorage, Alaska. That’s a move of 3,519 miles, if anyone is curious.

Vendors and Service Providers

We have no news or gossip from GRC vendors this week! Marketing directors, please tell your publicity people to step up.


Agatha Deignan is celebrating 10 years at Abbott Labs. Deignan joined the company in 2006 as a senior financial auditor, and since then has worked her way up to director of investigations and compliance enhancements.

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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