Compliance Jobs Report: May 11

The Compliance Jobs Report this week has news of a CCO departure at CA, plus ethics hires at Wells Fargo and promotions at SNC-Lavalin and Teva. The personnel shuffle is in full swing at the SEC, including the departure of commissioner Michael Piwowar; and our Compliance Meme of the Week goes out to everyone who paid off Michael Cohen. 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

We start with some big news from software firm CA Technologies: Joel Katz is leaving the company after nine years as head of ethics and compliance there, and 18 years with the company overall. Katz, who has written or spoken about ethics and compliance for years, says he will take the summer off and look for a new role in the fall.

CA has promoted Dan Kolenda, who has worked on Katz’s team for two years, to deputy chief compliance officer. Ava Hahn, the company’s new general counsel, will also assume the role of chief compliance officer. (We’ll tsk-tsk that double title some other day.)

compliance jobsWells Fargo has named  Shannon Grayer vice president of global ethics solutions, working out of Minneapolis. Grayer previously headed ethics and compliance investigations and compliance awareness at CSRA Inc., now a subsidiary of General Dynamics. (Don’t forget our news last week that Wells is hiring a half-dozen ethics staffers.)

Bitfinex, a trading platform for digital currencies, just hired Peter Warrack as chief compliance officer. Warrack was previously the director of AML and compliance officer at Bank of Montreal.

Uber has hired Christopher Hart, former chairman of the National Transportation Safety Board, to advise the company in a safety review following a fatal crash involving one of its self-driving cars. That crash, by the way, is under investigation by current NTSB leadership.

Amee Sandhu has been promoted at SNC-Lavalin, to regional integrity head for the Americas and integrity officer for the mining and metallurgy division. Sandhu has been with SNC-Lavalin in various compliance roles since 2013.

Rachel Batykefer has been promoted at Teva Pharmaceuticals, to senior director of global compliance training, policy, and operations. She’s been with Teva in various compliance roles since 2013, too.

In Dallas, hospital system Children’s Health added the chief compliance officer title to Javier Montemayor, who was already vice president of accreditation and regulatory affairs. We hope he got an awesome pay raise along with the awesome new title.

José Quesada, chief executive of the Costa Rican anti-money laundering group FELADE, has been named to the board of directors at World Compliance Institute. Felicidades.

Michael Dillinger just returned to NuStar Energy as senior counsel, after one month in that role at Tesoro Corp. Dillinger had been a senior counsel at NuStar since 2011, so we’re not sure whether that was a quick change of mind or someone hacked his LinkedIn profile.



And we have lots of news at the Securities and Exchange Commission this week. First, commissioner Michael Piwowar announced that he will leave the agency in July after five years on the job. Intriguing prospect: the Senate usually confirms SEC nominees in pairs, one Democrat and one Republican. Piwowar is a Republican, so his departure could lead the Trump Administration to name a successor to Democratic commissioner Kara Stein, who has been working beyond the end of her term since last year. (SEC commissioners can do that.)

In other SEC job shuffling, Raquel Fox has been named the new director of the Office of International Affairs, replacing Paul Leder. Fox previously worked as a senior adviser to SEC chairman Jay Clayton. Diane Blizzard is leaving her post as associate director of the Division of Investment Management after 18 years with the SEC. Jessica Kane has been named director of the Office of Credit Ratings, where she has served as acting director since 2017.


Hugh Bigwood is celebrating five years as head of global compliance for Rio Tinto in London.

Also celebrating five years is Fernando Herrera, vice president and senior manager of specialized compliance at HSBC Private Bank.

Vendors & Service Providers

Sally Yates, deputy attorney general in the Obama Administration and famed for getting fired when she refused to implement President Trump’s first Muslim travel ban, is rejoining law firm King & Spalding, where she worked years ago. She will head up a new investigations practice there.

Affiliated Monitors has hired Jesse Caplan as managing director of corporate oversight. Caplan most recently was general counsel of the Executive Office of Health and Human Services for the state of Massachusetts.

And for all you fans of the ISO anti-corruption standard, the nonprofit New Generation Foundation just launched a new website,, “to simplify the process of ISO 37001 adoption.”

Open Req Orders

Retail chain Aaron’s is looking for a compliance manager in Atlanta.

Market research firm C Space is hiring a compliance specialist for its London office.

And the Commodities and Futures Trading Commission is looking at buyouts and a hiring freeze, so anyone wanting to hire ex-regulators for some role will probably find plenty of them at the CFTC ready to bail.

Compliance Meme of the Week

If only we knew about these deals a year ago…

That’s all for the week ending May 11. Happy Mother’s Day to all our mom compliance officers, 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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