Compliance Jobs Report: April 13

This week’s Compliance Jobs Report has personnel moves at Hershey Chocolate, Bio-Rad Labs, Fusion Bank (banker to weed dealers), and more. We also have news from FINRA, the NLRB, and the PCAOB, plus a five intriguing job openings. And our Compliance Meme of the Week goes out to all you trade compliance professionals! 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

Oh, sweet: Sanjay Singh, head of internal audit for numerous large and interesting companies, just turned up as vice president of Hershey Chocolate in Hershey, Pa. Prior to Hershey, Singh was vice president of internal audit services Ryder System and at Starbucks before that.

Bari Havlik is joining FINRA as executive vice president for member supervision. Havlik comes to the regulatory body from Charles Schwab Corp., where she was chief compliance officer. As head of member supervision Havlik will oversee surveillance and examination programs for member firms. She replaces Susan Axelrod, who is leaving FINRA after 28 years.

Compliance JobsChicago-based brokerage and clearing firm Rosenthal Collins Group has named Steve Ivey chief risk officer. Ivey joins the firm from OCC (Options Clearing Corp.), where he served in various roles, most recently as VP of stress testing and liquidity risk management.

Elinami Mangesho is now local compliance manager at Zanzibar Telecom Ltd. in Tanzania. Mangesho had worked at Ecobank Tanzania as its country head of compliance since 2016.

In Toronto, Scott Page just picked up a gig as director of internal audit for LifeLabs Medical Services. Page previously spent 15 years as head of internal audit for Wajax, an industrial manufacturer in Ontario.

Continental Services Group, a debt collections firm in upstate New York, has named Jim McCarthy chief risk officer. McCarthy ran his own consulting firm and worked as a consultant for ConServe for a year before joining the company. Earlier in his career he was one of the first employees at the Consumer Financial Protection Bureau.

Fusion Bank tapped William S. Akel to serve as chief compliance officer and help get the Bahamas-based concern up and running at its new U.S. headquarters in Nevada. Akel most recently served as an anti-money laundering adviser and consultant for the private investigative firm Doyle Carden Group. His new employer is focused on the niche market of the cannabis industry, providing cash and treasury management services to the (legal) weed business.

Also in Nevada, Brad Frehner is the new director of finance at Caltrol, an industrial automation firm. Frehner had been director of accounting for Touro University Nevada for 15 months, and has been floating around the Nevada audit scene for years.

Jay Mumford has been promoted to senior global compliance manager for Bio-Rad Laboratories in the San Francisco area. He previously served as corporate compliance project manager for Bio-Rad, and has been there since October 2013.

The PCAOB has picked up its fifth (and last) new board member. Duane M. DesParte was sworn in this week at a ceremony at the Securities and Exchange Commission. DesParte retired from Exelon Corp. after 15 years with the firm, most recently as Exelon’s corporate controller. His previous gigs include partner at both Deloitte and Arthur Andersen.

The National Labor Relations Board is now full strength after the U.S. Senate confirmed John Ring, an attorney with Morgan Lewis & Bockius., as its newest member. Ring fills the last remaining vacancy on the five-member board.


No milestones this week! Remember, if you have a work anniversary, award, or even news of a compliance notable passing from the scene, let me know any time at [email protected].

Vendors & Service Providers

E.M.M.A. International Consulting Group has named Brian Dahl as compliance practice lead. The Michigan firm provides regulatory and compliance consulting for the biotech, pharma, and medical device sectors.

Joseph A. Spinelli has joined Ankura Consulting Group as senior managing director. Spinelli’s career in anti-fraud and corruption investigations includes 10 years at the FBI and serving as the first ever inspector general for the state of New York.

Nicole Argentieri, assistant U.S. attorney for the Eastern District of New York and chief of its public integrity section, is leaving the public sector to join law firm O’Melveny & Myers as partner in its white collar defense practice. First round of drinks is on her.

RiskLens has named James Lam to its board of directors as an independent director. Lam, a long-time leader in enterprise risk management, also sits on the audit committee of e-Trade and is a senior adviser to Workiva.

Open Req Orders

CEC Entertainment, operator of Chuck E. Cheese restaurants, is looking for an audit manager. Job is based in Irving, Texas.

El Camino Hospital is hiring a manager of corporate compliance. Job is in Mountain View, Calif.

US Foods is recruiting an IT auditor for its Tempe, Ariz., location. Good luck finding someone to fill that opening; IT audit folks are scarce.

Deluxe Corp. is seeking a due diligence adviser. The job is in Shoreview, Minn.

And we noticed earlier this week that the city of Atlanta is supposedly going to hire a chief compliance officer, in the wake of a bribery scandal under the former mayor’s administration. No word yet on when that might happen, but those up for a challenge in the government sector may want to keep that blip on your radar screen.

Compliance Meme of the Week

This week’s meme is submitted by Matt Beck, who describes himself as a “trade compliance lifer.”

If you have meme, send it in!

That’s all for the week ending April 13. 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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