Compliance Officers on the Move: Dec. 23

The big news in compliance jobs this week comes from Lawson Products (naming a new CCO) and Harley-Davidson (its head of compliance just left). We also have news about Deutsche Bank, Briggs & Stratton, and work anniversaries being celebrated by compliance professionals around the world.

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

Lawson Products, a maker of hydraulics parts based in Chicago, has promoted Rick Pufpaf from assistant general counsel to chief compliance officer. He will also hold the title of vice president for compensation & benefits, and report to the general counsel.

Rockwell Automation has named Rebecca House its next general counsel. House previously was assistant general counsel for compliance at Harley-Davidson for six years.

Now that Och-Ziff Capital Management has closed a major FCPA investigation, the company has named David Levine its new chief legal officer. Levine had been associate general counsel and top regulatory compliance officer at Deutsche Bank, and held legal roles at DB since 2001.

Compliance JobsIn Cape Canaveral, Fla., the 600-person Comprehensive Health Services has named Patrick Hogenbirk chief compliance officer. Most recently he was chief compliance officer at Assurex Health.

KMS Financial Services, a financial services firm (the name gave it away, right?) in Seattle, has promoted Tracy “Ace” Forsythe from chief compliance officer to president and chief legal officer. Forsythe joined KMS in 1988.

Aaron Marshall has a new job as global compliance specialist at Briggs & Stratton, a consumer products company in Wisconsin. He previously was a compliance training manager at Medline Industries for nearly four years.

And in Sao Paolo, Vinicius Pinho has a new job as compliance, risk, and backoffice director at BRX Corretora de Câmbio. Pinho previously was risk, compliance, and fraud prevention director at Wirecard Brazil. We need more jobs with “backoffice” in the title in this country.

Vendors and Service Providers

The top securities crime prosecutor in the U.S. Southern District of New York, Katie Goldstein, is leaving the enforcement world to join law firm Milbank Tweed—where she will, presumably, make bank. (Sorry, couldn’t resist.) Goldstein had worked at SDNY since 2004.


Muhammed Essop just hit one year as senior compliance manager for GE Power & Water in South Africa.

Leonardo Medeiros has reached one year at Essilor, a maker of ophthalmology products, as internal audit specialists in Latin America. He is based in Brazil.

Rami Stephan has reached one year as regional head of internal audit for National Bank of Abu Dhabi. He is based in Jordan.

In Bulgaria, Veselina Lilova just hit one year as operations lead for the financial reporting team at Cargill.

In Amsterdam, Tonnis Poppema is celebrating one year as senior director of ethics & compliance at Lumileds.

And bringing us home is Michael Landy, keeping it real for 10 years as senior IT risk and compliance manager at Blue Cross Blue Shield in Iowa.

Please note: Radical Compliance will publish on a reduced schedule next week. This will be our last personnel roundup column of the year. The next Compliance Officers on the Move column will return on Jan. 6, 2017.

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. 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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