Compliance Jobs Report: Aug. 17

Another Compliance Jobs Report bursting at the seams! We have compliance officers coming or going at Novartis, Fluor Corp., Panasonic Avionics, U.S. Bank, Braskem, and more; an audit technology startup raising $40 million in capital; job openings across the United States, and a compliance party pic! 

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! Read on…

Compliance Jobs News

Poached! Novartis has named Klaus Moosmayer its new chief ethics, risk, and compliance officer — stealing him away from Siemens, where he had been chief compliance officer since 2014. Moosmayer, who has the best CCO name I’ve heard in quite some time, will replace Shannon Thyme Klinger. She was named general counsel at Novartis after the company sacked its previous GC, Felix Ehrat, for sucking Novartis into a contract with Michael Cohen, former fixer and personal lawyer for President Trump.

Promoted! U.S. Bank has promoted Jodi Richard to chief risk officer and vice-chairman. She replaces Bill Parker, who is retiring. Richard has been U.S. Bank’s chief operational risk officer since 2014 and prior to that spent a decade at HSBC.

Panasonic Avionics has named a new chief compliance officer: Catherine Razzano, previously assistant general counsel at General Dynamics. Razzano arrives after Panasonic’s (rather significant) FCPA settlement earlier this year, and replaces Robert Lindquist. Lindquist joined the firm in 2015 to repair its compliance program and retired after the settlement.

compliance jobsNitesh Estates Ltd., one of the largest luxury real estate developers in India, has named Prasant Kumar corporate secretary and chief compliance officer. We don’t have much on Kumar’s previous experience, although he has worked at Sterling Global Oil Resources and Sindhu Cargo Services Ltd.

Wendy Hallgren, the long-time vice president of compliance at Fluor Corp., just left that job to be chief legal officer at Tutor Perini Corp., a $4.2 billion construction firm that “executes massive undertakings on near-impossible deadlines” — so perhaps the Yankees should hire Tutor to help them make the playoffs. Hallgren had been with Fluor since 2002.

In Sydney, Australia, Alliance Retirement has named Greg Thomas head of compliance. He comes to Allianz from Challenger Ltd., an Australian asset management firm.

Rami Stephan has been named group head of audit and quality assurance at Bank ABC in Bahrain. He previously was regional head of audit for First Abu Dhabi Bank, working out of Jordan.

Financial firm Raymond James has named Susan Schneider head of compliance transformation and strategy. Schneider comes to Raymond James from the Justice Department, where she spent 15 months as an adviser in the money laundering unit. She also previously worked at Citigroup.

In Houston, Michael Ferrier has joined Parker Drilling as associate general counsel. Ferrier comes to Parker from Cenergy International Services, where he was head of compliance and corporate secretary since 2015.

Adriana Fussuma has joined Novartis as compliance executive director in Brazil. She previously was compliance director at Abbott and before that spent 11 years in compliance at Johnson & Johnson.

Steve Schoenly, last seen as senior vice president for compliance at Healogics Corp., just turned up as a consultant at Resources Global Professionals after spending most of this year doing independent consulting.

In Los Angeles, Lauralee Gooch has joined financial software vendor BlackLine as chief compliance counsel. This is her first compliance role so everyone welcome her to the club.

Goldman Sachs has named Tim Kassisse co-head of financial crimes compliance and internal audit. Kassisse previously worked at Capital One in similar roles.

Eli Lilly & Co. has named Meredith Harper deputy chief information security officer. Harper previously spent 15 years as chief privacy and security officer at the Henry Ford Health System in Detroit.

Service One Credit Union in Bowling Green, Kent., has promoted Justin Morris to vice president of enterprise risk management. Morris has been with the firm since 2005 and most recently spent four years as assistant vice president for compliance and security.

Also in the credit union world, Concentra, a wholesale bank for Canadian credit unions, has named Philippe Sarfati chief risk officer. Sarfait comes to Concentra from Promontory Financial Group.

HSBC has promoted Bassel Mazen to be head of regulatory compliance and financial crimes compliance in its Egypt operations. Mazen has been with HSBC in various anti-money laundering roles since 2014.

In Sao Paolo, Everson Zaczuk Bassinello has a new title with Braskem: he is chief audit, risk, and compliance officer. Bassinello has been with the petrochemical giant since 2016 and previously was chief compliance officer.

The U.K. Information Commissioner’s Office, the chief privacy data regulator in that country, has named Simon McDougall executive director for technology policy. He comes to the ICO from Promontory, the advisory firm where many former SEC officials hang their shingle after leaving public service. McDougall was managing director there and head of the privacy practice.

We didn’t notice this until now, but earlier this spring Sunita Patel was named chief compliance officer at CoinShares, a cryptocurrency firm in London. She joined CoinShares from the London Metal Exchange, where she had been head of compliance.


Krista Muszak is celebrating one year at Tech Data, where she is global manager of compliance training, policy, and communication.

Bianca Buys is celebrating one year as senior compliance officer for global markets at Standard Bank in South Africa.

Aman Shahi just hit one year with Sprint, where she works as an audit project manager.

Phong Le is celebrating one year as head of risk management, legal, compliance, and internal audit at AAA Assurance Corp. in Vietnam.

Joseph Spinelli is celebrating 10 years as chief compliance officer at BBVA Securities.

Vendors & Service Providers

Ellen Marie Giblin, last seen as North America privacy officer for Phillips and head of its GDPR compliance team, has left that job and set up her own privacy consulting firm, Privacy Hub. She’s based in suburban Boston.

Dennis Chesley, former global head of risk consulting at PwC, just joined the consulting firm Guidehouse as a partner. Chesley was one of the movers and shakers behind COSO’s enterprise risk management framework released last year.

AuditBoard, the GRC software vendor formerly known as SOXHub, just landed $40 million in venture capital funding. It is AuditBoard’s second round of funding.

Open Req Orders

ConAgra is looking to hire a director of ethics and compliance. Job is based in Chicago; must like eating food.

The County of San Diego is looking for a director of its ethics and compliance office. Job is based in, well, you know where.

And Sherwin-Williams has openings for a few senior-level auditors in Cleveland. Look for more on the IIA careers website.

Compliance Community Photo

We break from our usual meme this week for a compliance community photo. Below is a shot from the Boston Compliance Meetup, holding its latest cocktail hour on Aug. 14. If you have a compliance community photo, send it in!

Boston Compliance Meetup gathers every other month! Join us in October.

That’s all for the week ending Aug. 17. 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.

Leave a Comment

You must be logged in to post a comment.