Compliance Jobs Report: Feb. 15

The Compliance Jobs Report this week bounces from Georgia Tech (new head of ethics and compliance) to Wells Fargo (new head auditor) to Annaly Capital (new chief compliance officer) and many more. Another merger in GRC vendor world this week, plus four job openings, and our Meme of the Week is a big Valentine to the profession.

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

We start in Georgia this week: Georgia Tech has named Ling-Ling Nie its next general counsel and head of ethics and compliance. Nie has been chief compliance officer at Panasonic Corp. of North America since 2017, and held various compliance roles at the company since 2012. Go yellow jackets!

Wells Fargo has named Julie Scammahorn chief auditor. Scammahorn most recently served at Citigroup as chief auditor of Citibank and had direct audit responsibility for anti-money laundering and compliance. She will join the company in April and be based in San Francisco.

compliance jobsAnnaly Capital Management, a holding company based in New York that invests in residential and commercial real estate, recently named Miki Kamijyo chief compliance officer. She comes to Annaly from GreenOak Real Estate, where she was chief compliance officer. Annaly announced Kamijyo’s hire as part of suite of corporate integrity and responsibility enhancements the firm implemented recently.

In Charleston, S.C., Jennifer Bottoms has been named director of ethics and compliance at Trident Health System, a division of HCA Healthcare. Bottoms previously worked at Novant Health as conflicts of interest manager since 2015.

UBS Asset Management has promoted Alicia Arminante to compliance director; she’s been with the firm since 2014.

The fantastically named ShiftPixy, which touts itself as “a disruptive workforce engagement platform provider” but actually is scheduling software to manage freelance workers, has named Kirk Flagg chief compliance officer. Flagg comes to ShiftPixy from Oasis Outsourcing, where he worked as a business consultant.

Athena Capital Advisors, a privately owned registered investment adviser with $5.5 billion in assets, has promoted Dana O’Brien from chief compliance officer to general general counsel. O’Brien has been with the firm since 2014. She will keep the chief compliance officer title, which we frown upon around here.

Down in Chile, Beatriz Vergara Maturana has been named compliance officer for Porsche Chile. She comes to Porsche from Caja Los Andes, a financial services firm in Chile.

Maureen West has been named compliance officer at Functional Remedies, a hemp oil business in Colorado (naturally). West had been running a solo legal practice since 2017, and prior to that spent many years as an assistant attorney general for the state.

And in regulator world, now that William Barr has been confirmed as attorney general, a daughter and a son-in-law, who both work in the Justice Department, will transfer to new roles. Daughter Mary Daly, who had been working in deputy attorney general Rod Rosenstein’s office, will transfer to FinCEN in the Treasury Department. Son-in-law Tyler McGaughey, married to a different Barr daughter, will transfer to the White House counsel’s office. Draw your own conclusions about a conflict of interest there.


Kara Novelli is celebrating one year at Applied Materials, where she is global ethics and compliance program manager.

Dana Dalton just hit one year as head of institutional compliance at the University of Tennessee. Go Vols!

Vendors and Service Providers

Another week, another deal among GRC vendors. This time around, SAI Global has acquired BWise from Nasdaq, for an undisclosed purchase price. Interesting, because SAI is foremost an ethics and compliance software vendor, while BWise is more about audit and security compliance issues.

Jacqueline Peterson, last seen in 2017 as director of compliance for DTX Technologies, just turned up at accounting firm Weaver as a director. Based in Dallas.

And the Society of Corporate Compliance & Ethics has relaunched its website. Check it out after you’re done spending a few hours on Radical Compliance.

Open Req Orders

The New York City Housing Authority is looking for a compliance counsel. Think long and hard before applying for that one; the agency is up to its eyeballs in stress and scandal. Still, it could be a fascinating professional challenge for the brave.

Visa is looking for a global director of AML and anti-terrorism finance. Job is based in California.

Walmart is looking for a director of strategy and risk for U.S. compliance and ethics. I don’t really know what that means, but I know the job is based in Arkansas.

For all you auditors: General Electric is looking for a SOX auditor for IT controls. Job is based in Cincinnati.

Meme of the Week

This week’s meme is short and simple, from the Office of Government Ethics


That’s all for the week ending Feb. 15. As always — 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.