Compliance Jobs Report: Oct. 5

The Compliance Jobs Report this week has personnel news from Realogy Holdings, Kaleo, and Western Union, among many more. A few compliance officers have jumped to consulting land, and KPMG just named an independent board director for the first time. We have cool job openings from coast to coast, and our Meme of the Week goes out to Elon Musk.

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

Scot Steinheiser is the new manager of corporate compliance for Kaleo, a pharmaceutical company in Chicago (and not to be confused with the Icelandic blues-rock band Kaleo, either). Steinheiser spent the last six years working as a compliance consultant for SCS Compliance Group.

John Brennan, chief audit executive with real estate firm Realogy Holdings (owner of Coldwell Banker, Century 21, and the like), is taking on the additional role of chief ethics and compliance officer. Brennan is succeeding Liz Gehringer, who recently became COO of Coldwell Banker.

On the move: Matthew Elderfield, chief compliance officer at Nordea Bank, is relocating from Stockholm to Helsinki. The rest of the bank is relocating too, hence he’s going along. Hyvää onnea, sir!

Compliance JobsKatherine Becker has been named St. Luke’s Health Care System’s first-ever vice president of corporate compliance. Previously a healthcare compliance consultant with Acevedo Consulting in Delray Beach, Fla., Becker is relocating for her job, too — to Duluth, Minn. Which sounds just as cold as Helsinki.

Also packing his bags is Jeff White, taking a new job as compliance officer with Treasure Coast Hospice in Stuart, Fla. He spent the last two years as a compliance officer with Tenet Healthcare in the Phoenix area.

Fintech startup Alpaca Securities has named John Torola as its chief operating officer. Torola had been chief compliance officer at Wealthfront in Redwood City, Calif.  Also joining Alpaca is Christine Jue, who will head up its compliance and brokerage operations. She has been a group director in Morgan Stanley’s Menlo Park office for the last year.

Cherie Axelrod has been promoted to senior vice president and general auditor with Western Union in Denver. Axelrod, who joined the company in 2012, had been deputy chief compliance officer.

Jon Canty is joining auto parts manufacturer Denso Corp. in Detroit as senior corporate counsel. Canty previously worked for NSK Americas as director of compliance and assistant general counsel.

M.S. Howells & Co., a brokerage and investment firm in Scottsdale, Ariz., has named Eraine Parker chief compliance officer. Parker had been with Edelman Financial in Georgia for 11 years.

Doug Seefus, who has worked in regulatory compliance and business conduct at Wells Fargo since 2010, has a new title: wealth and investment management conduct risk executive and head of regulatory relations. Yet another glimpse into how Wells is trying to structure its oversight of business conduct.

Ashley Fieber, who had been head of fraud, sanctions, and anti-corruption at CIT, just took a job at VyStar as head of enterprise authentication and fraud. She is based in Jacksonville, Fla. “Enterprise authentication” sounds so much more exotic than “third-party due diligence.”

And LoanCare, a mortgage subservicing subsidiary of ServiceLink, has added Anshul Aggarwal and John Baker to its management team. Aggarwal, who previously was head of servicing risk for Caliber Home Loans, is senior vice president and chief risk officer; Baker, who was vice president of investor reporting and payment administration at LoanDepot, is senior vice president of investor accounting, cashiering, and bank reconciliation.

Other Gossip

The National Society of Compliance Professionals is meeting with SEC commissioner Robert Jackson on Oct. 17. To discuss what? I dunno, but NSCP members can suggest ideas by visiting the NSCP Voice Portal.

Congratulations to all you former Thomson Reuters employees who changed your LinkedIn profiles to say you now work at Refinitiv, Thomson’s successor brand. Rumor is all the managers were flown to London for a big launch party.


Congratulations to Mike Levitt, vice president and chief compliance officer with Tutera Senior Living and Health Care in Kansas City, who has been elected president of the Missouri Health Care Association.

Jefferson County Public Schools in Louisville, Kent., just named James Rose chairman of its new audit and risk advisory committee. Rose used to head up audit at Humana and was audit committee chair for the World Food Programme, among other jobs.

Vendors & Service Providers

Thomas Grimberg is leaving his corporate job with Western Digital after a decade to join consulting firm CNM LLP in Irvine, Calif., as a practice leader in the IT audit and advisory group. Grimberg had been Western Digital’s director of ERM, security, and IT audit since 2015.

Consulting firm Ankura just announced a bundle of promotions to senior managing director, in several of its compliance, investigations, and risk management practices. Too many to name here, but we congratulate them all.

KPMG has named retired U.S. Air Force Gen. Janet Wolfenbarger to be its first-ever independent board director for the U.S. board. Good move on KPMG’s part, bringing aboard someone experienced with turbulence.

Kathryn Reimann has left her chief compliance officer job with Citi to join consulting firm Treliant as a senior managing director overseeing risk and regulatory compliance, fair and responsible banking, and FinTech. Reimann will be based in New York.

Open Req Orders

Intel is looking for a director of anti-corruption and legal investigations. Job is based in Silicon Valley.

Georgia Tech is recruiting a vice president for ethics, compliance, and legal affairs. Job is based in Atlanta.

The City of Denver is looking for a director of financial audits. If you have to ask where the job is based, don’t apply.

Meme of the Week

That’s all for the week ending Oct. 5. Enjoy the long Columbus Day Weekend if you can. And remember: 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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