Compliance Jobs Report: April 28

The compliance jobs report starts this week with word that the head of compliance at Och-Ziff has departed, after helping her firm wrap up one of the larger FCPA enforcement actions of 2016. We also have a slew of gossip about who might help run the SEC, and new compliance appointments at General Cable, Air Methods, and Ooderoo. Read on…

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 report depends on people like you helping me, so send some news!

Compliance Jobs News

First we have news from the regulatory world. The Senate confirmed Rod Rosenstein as deputy attorney general, which is great news—the compliance community was in dire need of more senior-level Justice Department officials to show up at conferences and give speeches about the importance of corporate compliance. Now we have one.

Word has also surfaced that Jay Clayton, who will be confirmed as chairman of the Securities and Exchange Commission probably next week, has begun recruiting senior SEC staff. One contender is William Hinman, partner at the law firm Simpson Thatcher, in the running to head the Division of Corporation Finance. Two people mentioned as possible heads of the Division of Enforcement are Steven Peikin, a colleague of Clayton’s at law firm Sullivan & Cromwell; and Matthew Martens, parter at Wilmer Hale. Acting enforcement boss Stephanie Avakian is also under consideration.

Compliance jobsPaula Drake, the chief compliance officer at Och-Ziff Capital Management as it wrapped up its FCPA investigation last year, was just named general counsel of HarbourVest Partners. Drake joined Och-Ziff in September 2015; one year later the firm settled its FCPA probe with the Justice Department for $412 million in penalties. HarbourVest, based in Boston, has $40 billion in assets under management.

Air Methods, a company in Denver that provides emergency medical evacuation, has named two compliance and risk personnel. Cory Theriot will be the firm’s vice president of safety and risk management. Alan Einisman is the new vice president and chief compliance officer. Einisman most recently served as vice president of international compliance for UnitedHealth Group. Theriot was previously as vice president of safety and quality assurance for Era Helicopters.

General Cable has named Lizette Arias director of compliance and risk monitoring. Arias had been pulling short-term work at Sierra Financial Group for a few months, and had been a senior compliance manager at Johnson Controls before that.

Gregory Bates has left his job as Latin America compliance director for Avon Products to join the law firm Miller Chevalier as counsel. He is based in Washington.

In the Mideast, Ooderoo, a telecom firm based in Qatar, has named Badar Al-Hashmi chief audit executive. He replaces Mohamed Mashood, who is retiring. Al-Hashmi is also president of the Oman chapter of the Institute of Internal Auditors.

Talk about throwing a red card! Richard Lai, a member of FIFA’s audit and compliance committee, pleaded guilty in federal court this week to taking nearly $1 million in bribes over the years. He agreed to pay $1.1 million in fines. Lai was still listed as a member of FIFA’s audit committee as of April 27.

And we apologize for not noting this sooner: Fox News fired its comptroller Judy Slater last month, amid multiple accusations that she made racially insensitive comments to black employees there. Slater had been with Fox for nearly 20 years. No word on who is replacing her.


Olesya Chugunova is celebrating one year as Sarbanes-Oxley and business continuity specialist at Toyota Finance Australia, in the lovely city of Sydney.

Here in Boston, Beth Colling just reached one year as chief compliance officer at engineering firm CDM Smith.

In Columbus, Ohio, Jennifer Estey is celebrating 10 years as director of business ethics at L Brands.

Bryon Neaman has reached 15 years at Bon Secours Health as chief audit executive.

And Mary Rodriguez is celebrating 15 years as global compliance manager at Kraton Corp.

Vendors & Service Providers

Kroll has named Kenya Mann Faulkner as managing director of its investigations and disputes practice, working from the firm’s Philadelphia offices.

LockPath, a vendor of GRC software, has announced a partnership with SailPoint, a software vendor that focuses on identity management. The two will build integration between LockPath’s KeyLight Platform and SailPoint’s IdentityIQ.

MISTI, the MIS Training Institute, has relaunched its website. Worth checking out if you’re an internal or IT auditor.

Open Req Orders

Are we allowed to say that no interesting compliance or audit jobs crossed our radar screen this week? If you have one, or you’re looking for one, or you just want to gab about the compliance job market in general, let us know.

That’s all for this week. If you have a tip or want to brag about your new job, promotion, career milestone, or anything else, 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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