Compliance Jobs Report: Oct. 27

The Compliance Jobs Report goes a little nuts with financial services this week. We have compliance officer appointments at Eaton Vance and State Street Global Advisors, and they have a new regulator at the SEC. We also have a CCO job opening at Raymond James— plus, as always, much more news and gossip. Read on…

I gather these bits of information 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

The Securities and Exchange Commission has named Peter Driscoll director of the agency’s Office of Compliance Inspections and Examinations. Driscoll had served as OCIE’s acting director since January.

Eaton Vance, the asset management firm based here in Boston, has named Richard Froio chief compliance officer. Froio comes to Eaton Vance after five years at PIMCO, where he was deputy chief compliance officer. He’ll report to Fred Marius, Eaton’s chief legal officer.

In Hong Kong, State Street Global Advisors has named Juanita Li as its head of compliance for Asia Pacific. Li comes to SSGA from Aberdeen International Fund Managers, where she spent the last year as head of compliance for its Hong Kong office.

Corporate Central Credit Union has promoted Fred Blask from compliance risk manager to vice president of risk strategy and execution. In his new role, Blask will lead Corporate Central’s enterprise risk management strategies, maintain the compliance culture, and coordinate internal audits and regulatory exams.

Compliance jobsAssociated Bancorp, based in Green Bay, Wisc., has announced a few personnel changes in its audit and risk management functions. First, chief audit executive Patrick Derpinghaus will retire on March 1, 2018, after seven years at the bank. In anticipation of that change, the bank has promoted Matthew Braeger from audit director to deputy chief audit executive. And the bank has named deputy chief risk officer Nicole Kitowski to its executive committee.

Gina Marie Nese has taken a job as chief compliance officer at Entellus Medical, a medical device maker in suburban Minneapolis. She spent the last few months as a compliance consultant, and before that was director of compliance at Aerie Pharmaceuticals in California.

Down in Sao Paolo, Banco Confidence has promoted Felipe Augusto Maciel de Silva from compliance analyst to senior compliance analyst. Also, points for having an awesome bank name.

Patrick Henz has been promoted at Primetals Technologies, from regional compliance officers for the Americas to head of governance and compliance. Henz has been with Primetals since 2015. Follow him on Twitter to see his passion for racing cars.


We’re sad to report that Mike Priyal, vice president of internal audit at Federal Signal Corp., passed away on Oct. 21. Priyal had been with Federal Signal since 2010. He was 60. I had the privilege of meeting Priyal at a compliance event years ago in Chicago, and he will be missed.

Madina Amrakulova is celebrating one year as Central Asia compliance officer for Sanofi. She’s based in Kazakhstan.

Thomas Rensvold just hit five years as chief compliance officer for Empire State Financial in New York.

Viswanathan K. is celebrating five years as head of internal audit and risk management at the TGI Group, an agribusiness conglomerate based in Nigeria.

And Kim Ingham this month is celebrating 25 years at Merck. She has been director of compliance since 2005, and started her career there as a lab technician in 1992. Way to go, Ingham.

Vendors & Service Providers

Process Unity, a software firm in Boston that makes cloud-based applications for risk and compliance management, just released its fall 2017 updates. Read more on the firm’s website.

And we don’t normally promote webinars here, but SAI Global is hosting one about human trafficking on Nov. 8, and is donating $5 for every registrant to Polaris Project, an anti-trafficking organization.

Open Req Orders

SAP is looking to hire a senior legal and compliance officer for its Integrity Office in the United Arab Emirates.

Raymond James is looking to hire a chief compliance officer at the senior vice president level, with experience in bank holding company compliance.

Tweet of the Week

And we launch a new feature today: our Tweet of the Week, to call out something interesting going on in corporate compliance. This week we give a shout to Roy Snell, head of the Society of Corporate Compliance & Ethics. Snell led a contingent of U.S. compliance professionals to Sarajevo, for the first-ever SCCE compliance academy in the Balkans.

In this photo we can see SCCE no. 2 Adam Turtletaub, center; compliance greybeard Joe Murphy, right with glasses (and no beard); Bojan Bajić, front right, and Višnja Marilović, in white coat, both of Net Consulting. Apologies that I can’t identify the others.

That’s all for Oct. 27. 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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