Compliance Jobs Report: Jan. 12

The Compliance Jobs Report this week has news of compliance personnel moves at Capital One, Cooper Standard, Black & Decker, and Veolia; we also have gossip from the Securities and Exchange Commission and Capitol Hill, a bunch of work anniversaries to note — and compliance professionals are trying to party in Boston and Philadelphia. 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

First, at the Securities and Exchange Commission, Robert Jackson and Hester Peirce have been sworn in as Democratic and Republican commissioners, respectively. This brings the SEC back to full strength of five commissioners since 2015. In other news, hell has frozen over.

The SEC also named Tim Timura as deputy director and deputy chief economist at the Division of Economic and Risk Analysis. Timura joins DERA from American University, where he was an executive in residence. This also is a good opportunity to remind you that DERA’s Twitter feed is possibly the goofiest in the federal government.

In New York, Robert Khuzami has been named deputy U.S. attorney in Manhattan. Khuzami was the SEC’s head of enforcement in the first term of the Obama Administration. Prior to that he was a top lawyer at Deutsche Bank. Deutsche Bank is financier to the Trump Organization, which owes the bank $130 million. The Trump Administration, by the way, just waived a bunch of monetary penalties the bank owed for its role in the LIBOR scandal.

On Capitol Hill, Kirsten Sutton Mork is leaving her job as staff director for the House Financial Services Committee to be chief of staff at the Consumer Financial Protection Bureau. Replacing her on the committee will be Shannon McGahn, who had been staff director until the start of 2017 when she moved to the Treasury Department.

OK, back to the corporate world…

We have an executive shuffle at Capital One: general counsel John Finneran, 67, is easing out of that job. Starting Feb. 1 he’ll do six months as the bank’s chief risk officer; after that he’ll become senior adviser to the board and CEO. He will also remain as corporate secretary, overseeing Capital One’s governance duties. Matthew Cooper, the bank’s chief counsel since 2016, will move into the GC role. Finneran replaces current chief risk officer Kevin Borgmann, who will also be a senior adviser to senior management. Come Aug. 1, Sheldon Hall will replace Finneran as chief risk officer.

Compliance JobsFrench water management firm Veolia has named Jean Baptiste Carpentier chief compliance officer. Carpentier comes to Veolia from the French government, where he recently worked on money-laundering issues and economic policy.

Big news in Ohio: Michele Abraham, ethics and compliance lead at Cleveland-based Timken Co. for the last 10 years, is departing that firm to be associate general counsel and director of ethics and compliance at Cooper Standard in Detroit. Abraham, who is super cool, leaves Timken today. No word yet on her replacement at Timken.

Bobby Butler has been named senior manager of global export and anti-corruption compliance at Stanley Black & Decker. Butler had been a solo compliance consultant for a while, but had been head of compliance and audit for Universal Weather & Aviation from 2008 to 2016.

Callahan Financial Planning, based in Omaha, Neb., has named Allison Cerven chief compliance officer. Cerven has been with the firm since 2013. Her promotion is part of Callahan’s transition to being regulated federally by the SEC.

XL Group, an insurance firm based in Bermuda, announced that chief enterprise risk officer Jacob Rosengarten retired on Dec. 31. Fielding “Fid” Norton, previously deputy chief enterprise risk officer, has been appointed as his successor.

Dime Community Bank, a local bank in Brooklyn, has named Christopher Porzelt chief risk officer. He replaces Tim King, who retired last month, and comes to Dime from audit firm EisnerAmper.

In Houston, Robert D.F. Thomas has been named head of environmental compliance for food giant Sysco. Thomas comes to Sysco from Walmart, where he was a regional ethics and compliance officer.

And in Atlanta, Jonathan Soll has been named chief compliance counsel at Network Solutions Healthcare. Soll previously worked at Western Union, where he was chief privacy officer and assistant general counsel.


Seth Cohen is celebrating one year as vice president of global compliance at ADP.

Elizabeth Simon just hit five years in ethics and compliance at Cox Communications. She is currently director of ethics and compliance there.

Michael Bowman is celebrating five years as head of global AML operations and chief sanctions officer at TD Bank.

Ashley Davidson is celebrating 10 years at International Paper. Davidson started at the company as a legal assistant, and is now compliance coordinator.

Calling all compliance officers in Philadelphia! One of your own recently asked me whether any compliance networking events are happening in your fair city. I don’t know of any. If you do, let me know. If you want to launch one, drop a line to Kate Woods at Capital Blue Cross.

This is also a good time to plug Radical Compliance’s own Boston Compliance Meetup on Feb. 6, in Waltham, Mass. All are welcome, admission is free, but please register on EventBrite so we can warn the bartender on crowd size.

Vendors & Service Providers

MetricStream has named a new CEO: Mikael Hagstroem, who previously was a partner and chief operating officer at McKinsey Analytics. He replaces Shellye Archambeau, who will now serve on MetricStream’s board of directors.

Acuris, a data provider to financial professionals, has named Joel Lange head of its compliance division. Lange comes to Acuris from Dow Jones, where he led the risk and compliance division.

Open Req Orders

JP Morgan is looking to hire a vice president of compliance to join its global privacy compliance governance team. Job is in New York..

That’s all for the week ending Jan. 12.

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.

Leave a Comment

You must be logged in to post a comment.