Compliance Officers on the Move: Jan. 13

This week’s compliance jobs report has a few interesting items. We have promotions happening at Mars and JP Morgan; new hires at United Natural Foods and Vanderbilt University; and Leslie Caldwell is stepping down from the Justice Department. Plus, a lucky compliance professional somewhere has the chance to be compliance counsel to the Trump Organization.

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

Vanderbilt University has named Douglas Horr associate chancellor for internal audit. Horr comes to Vandy from the University of Miami, where he was executive director for compliance services. One of his top priorities will be to build a risk management system for “SkyVU,” the unnecessarily cute name for an enterprise risk management system the school is trying to launch.

Mars, the maker of M&Ms and other candies, has promoted Madhuri Patel from vice president of global internal audit to CFO of Mars Global Services. Patel has been with Mars since 2011. No word yet on who might replace Patel as head of internal audit.

Howard Sklar, one of the sharpest internal investigations people I know, has take a new role at JP Morgan. Sklar had been head of special investigations for JPM since 2012; he now is executive director of compliance for the bank.

Compliance jobsAlso in the banking world, Michael Troccia has taken a new job at Capital One as head of AML advisory for its commercial banking division. He previously worked as an AML consultant with IMAG Consulting.

Rich Sarnie is the new vice president of risk, loss, and safety at United Natural Foods in Rhode Island. Sarnie previously was head of projects for the American Institute of Chemical Engineers, and also has worked at the Vitamin Shoppe and Great Atlantic & Pacific Tea Co.

Trenes Argentinos Infraestructura, a government-owned corporation in Argentina that oversees railway infrastructure, has hired Maria Soledad Urri to oversee ethics and transparency. Urri previously was audit, risk, and compliance manager for Atanor , the Argentina subsidiary of Albaugh Corp.

In regulator world, Leslie Caldwell is leaving as assistant attorney general for the Criminal Division of the Justice Department, after not quite three years in the role. No word on her next steps, but before taking this post she was a partner at the law firm Morgan Lewis & Bockius. Caldwell’s replacement in the Trump Administration will need Senate confirmation.

Speaking of the Trump Administration: as you may have already seen this week, the Trump Organization claims it will hire a compliance counsel to help manage President-elect Donald Trump’s conflicts of interest with his business. I don’t know who might be up for this challenge, nor what recruiting firm might get tapped to find a candidate. As I hear word I will let you know.

And for any recruiters reading this column: I’m aware of a senior-level ethics officer at a large East Coast financial institution who is looking for new opportunities; and a trade compliance officer in the biotech and manufacturing sectors also looking for his next gig. Both people have considerable experience. If you would like an introduction to either one, please let me know.

Vendors & Service Providers

The law firm Morrison & Foerster just hired John Carlin, former assistant attorney general for national security, to head its global risk and crisis management group. We’re sure he’ll be plenty busy, the world has risks and crises to spare.

Oversight Systems, a maker of software to manage employee spending and identify suspicious payments, just hired a new CTO, Mike Rivers. Rivers previously was CTO of Paymetric, which made payment software for large organizations.


Saul Munoz is celebrating one year as head of financial crimes compliance in the Latin America region for SWIFT.

Jeff Browning is marking five years as chief audit executive of Fiserv, the financial technology company.

Timothy Meryweather just reached 10 years with the San Manuel Tribal Gaming Commission in Riverside, Calif. Meryweather started there as a surveillance officer, and has been an IT auditor with the casino business since 2012.

In Atlanta, Gabriel Cardenas is celebrating 10 years at YKK Corp., the last five of them as director of internal audit and compliance. YKK is a maker of zippers, hooks, and other fasteners for clothing; and of doors, curtains, and other architectural products for commercial real estate. You gotta wonder how that M&A deal happened.

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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