Compliance Officers on the Move: Jan. 20

We have lots to cover in this week’s compliance jobs report. Goldman Sachs’ top compliance executive is departing after 13 years, and we have a flurry of new compliance appointments at other firms: DTCC, Loews, CIT Group, ADP, and elsewhere.

I gather these bits of gossip from LinkedIn, news alerts, and friends emailing me something to include. If you have a tip to pass along, email me at [email protected] or find me on LinkedIn. This is especially important since LinkedIn just redesigned its interface and, as usual, made the site useful—this report depends on people like you helping me!

Compliance Jobs News

First, we’ve had a reshuffling of the compliance ranks at Goldman Sachs. Alan Cohen, who had been the bank’s head of compliance for 13 years, is stepping down from that role to be a “senior adviser to the executive office,” whatever that may mean. Replacing him will be Sarah Smith, Goldman’s controller and chief accounting officer. Replacing her will be Brian Lee, deputy controller.

CIT Group, a commercial bank to middle-market businesses with $65 billion in assets, has named Paul Tufaro chief compliance officer. He will report to chief risk officer Robert Rowe. Tufaro joins CIT from Citigroup, where he spent six years as global head of corporate compliance.

Kemal Altug Ozgun has new job as ethics & compliance director for Astellas Pharmaceuticals’ operations in Turkey. Ozgun comes to Astellas from Sandoz, where he had been head of legal and compliance in that country for three years.

In New York, payroll processor ADP has named Seth Cohen vice president of global compliance. Cohen previously worked at PwC for a few years, and before that held compliance roles at Avaya and Zurich Financial Services.

Compliance JobsHome improvement company Loews has promoted chief risk officer Marshall Croom to chief financial officer. Croom has been with Loews for more than 20 years, and served as chief risk officer since 2009. The company says Croom will continue to oversee internal audit and risk management, so it’s unclear right now whether Loews will name a new chief risk officer.

Grupo DASA, a large healthcare system in Brazil, has named Fabio Cunha head of legal and compliance. He previously held a similar role for Danone’s operations in Brazil.

Robert Foehl has taken roost at Ohio University’s College of Business, where he is executive in residence. Foehl held a few legal and compliance roles at Target, 2003 to 2012, and most recently was head of legal at ACA International (trade association of collections professionals).

Depository Trust & Clearing Co., which manages post-trade clearing details for financial firms, has named Derek West as chief compliance officer for its European operations. West will work in London, and a top responsibility will be compliance with the European Market Infrastructure Regulation (EMIR). Prior to joining the DTCC, West worked at Quebec’s securities market regulator.

TBC Bank Group, a financial firm in the Republic of Georgia, has named David Chkonia chief risk officer. Chkonia comes to TBC from BlackRock, where he was a director in the BlackRock Solutions group advising financial firms on enterprise risk management.

Logitech has promoted Priscilla Santos Pinto, from trade compliance manager to senior trade compliance manager. She works from Brazil, handling issues for Logitech’s Latin America operation.

John Hullibarger has a new job as vice president of internal audit and loss prevention at Sherwin-Williams. Hullibarger previously spent 10 months as head of internal audit at NetJets, but earlier in his career he pulled a two-year stint at Sherwin-Williams as head of corporate audit.

Insurance firm Assurant has promoted Doris Vigo to be chief compliance officer. She had been the firm’s head of international legal teams, and has been in various legal roles there since 1994.

TechnipFMC has named Anders Meex Hvashovd to be vice president of compliance. Hvashovd previously was director of compliance for FMC, before the two companies merged last year.

Vendors & Service Providers

Matthew Solomon, former chief litigation counsel at the SEC, has begun work as a partner at Cleary Gottlieb. Solomon had worked at the SEC in several litigation roles since 2012. Nicely timed move to the private sector there.

In the proxy advisory world, Bob McCormick has left his long-time job as chief policy officer at Glass Lewis & Co., to join Camberview Partners as a partner. Camberview is a relatively new consulting firm that helps companies work with large investors., an Israeli technology firm, has unveiled a new version of its information governance product. makes software to help employees capture and preserve email communications in SharePoint more easily.


Lori Rainwater is celebrating one year as chief audit executive at Asurion, an insurance business based in Tennessee.

Deanna Reitman just hit one year as senior legal counsel at Noble Americas.

Kym Wee is celebrating one year as controller for Otis Elevator’s southeast Asia operations in Singapore.

Mariam Talia has reached one year as ethics & compliance officer at Boehringer Ingelheim, working out of its South Africa offices.

And Michelle Ploetzke is celebrating five years as senior compliance officer at Citi.

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. 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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