Compliance Jobs Report: April 6

Lots of corporate moves in the Compliance Jobs Report this week. We have new hires at University of Louisville, Waddell Reed, Tech Data, and Wells Fargo; promotions at Aflac and Sand Hill Advisors; a neat opportunity for anyone with a bright young auditor on staff; and our Compliance Meme of the Week goes out to everyone sweating GDPR compliance. 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 University of Louisville has a new vice president of enterprise risk management. The school hired Rhonda Bishop, who reports for duty April 16. This is a new role for U of L, created as part of a larger overhaul of audit and compliance functions. Bishop previously worked at the University of Central Florida as chief ethics and compliance officer.

Waddell Reed Financial has named Elizabeth Hansen chief compliance officer for its distribution subsidiaries Waddell Reed Inc. and Ivy Distributors. Hansen comes to the firm from Ameriprise Financial Services, where she was chief compliance officer. Hansen replaces Shawn Mihal, who was promoted in November to be president of Waddell Reed.

Edwin Corona has joined Tech Data as ethics and compliance manager for the Americas region. He comes to Tech Data after 11 years at TeleTech, an outsourcing and tech consulting firm. Corona will report to the famous AP Capaldo-Escandell, Tech Data’s ethics and compliance director.

In Maryland, research firm Advarra, formed by the merger of Chesapeake IRB and Schulman IRB, has named Michele Russell-Einhorn chief compliance officer. Russell-Einhorn had worked at Schulman IRB since 2016.

Aflac has promoted Albert Riggieri to be chief risk officer and chief actuary. Riggieri joined Aflac in 2016 as senior vice president and corporate actuary. In his new role he’ll report to the CFO and oversee global enterprise risk management.

Compliance jobsDrew Williamsen has been named director of compliance at the Toledo Clinic, a medical practice based in, you guessed it, Toledo, Ohio. Williamsen comes to the Toledo Clinic from Renown Health in Nevada, where he was manager of compliance for two years.

Wells Fargo just named Lisa Kuca senior vice president and operations risk manager for IT infrastructure and cybersecurity. She previously was vice president of compliance for Lumber Liquidators. Kuca is based in Washington, D.C.

Also in banking, J.P. Morgan Chase has named Todd Ruback executive director for global privacy compliance initiatives. Ruback had been chief privacy officer and general counsel of Ghostery (also once known as Evidon), a marketing technology firm, for the previous five years.

Sharon Virag, last seen as chief accounting officer at Aetna, just turned up as CFO of NeoGenomics Labs in Fort Myers, Fla. That’s a nice change from winters with Aetna in Hartford.

In Dallas, RoundPoint Mortgage Servicing Corp. has named Chalise Freitag vice president of compliance. She joins the firm from ClearSpring Loan Services, where she had been general counsel for the past 2.5 years.

Sand Hill Global Advisors, a wealth management firm in Silicon Valley, has named Caroline Curts chief compliance officer. Curts has been with Sand Hill for five years as manager of client service. She replaces Cynthia Lee, who has been moved from chief compliance officer to managing director and counsel for compliance matters.

And in the African country of Cameroon, Bertrand Tiky has been named head of contracts compliance for energy company Eneo Cameroon. Tiky has been with Eneo in various ethics and contracts compliance jobs since 2014.


We begin with sad news: Scott Friestad, associate director of enforcement at the Securities and Exchange Commission, died this week after a battle with cancer. Friestad worked at the SEC for 22 years, and leaves behind a wife and two sons.

Andrew Maldonado is celebrating one year at Western Digital, where he is director of financial controls. Some of you may remember Maldonado from his 10 years in compliance and internal controls at DirecTV.

Alexandria Degree is celebrating one year as chief compliance officer at Kuber Inc., a financial services firm based in Irvine, Calif.

Got a whiz kid on your team? The Institute of Internal Auditors is soliciting nominations for its Emerging Leaders awards for 2018. Nominees must be under 30 as of Dec. 31, 2018.

Vendors & Service Providers

Let me sneak in this item: my friend Tom Fox, publisher of the FCPA Compliance Report, is hosting an executive breakfast in Houston on April 12 with my other friend Jonathan Armstrong, data privacy guru at the Cordery Compliance firm in London. They will lead a discussion about the U.K. Bribery Act. Free to attend, but please register with Fox at [email protected]. Reports that Fox and Armstrong will conduct a mock dawn raid on a local oil firm are unconfirmed.

In Brussels, Kaarli Harry Eichhorn just left his job as competition counsel with General Electric to join the antitrust practice at law firm Jones Day.

Open Req Orders

Millicom, a global telecommunications firm, is looking for an internal controls and SOX compliance analyst to work in its Latin America wing. Job is based either in Central America, Colombia, or Miami.

First Republic Bank is looking for a director of economic sanctions and anti-corruption. Job is based in San Francisco.

Quest Diagnostics is recruiting a director of compliance. Job is based in New Jersey.

Compliance Meme of the Week

Raise your hand if you feel this way.


That’s all for the week ending April 6. Enjoy the weekend, and if you have a tip or want to brag about your new job, promotion, career milestone, or anything else, 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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