Compliance Jobs Report: April 19

Another huge Compliance Jobs Report this week! The long-time head of compliance at Ford has gone to La-Z-Boy, and we have other compliance moves at NYC Housing Authority, KBR, Pearson, ADM, and more. Ameren Corp. is looking for its first-ever CCO. And our Meme of the Week goes out to everyone sharing compliance metrics across the enterprise.

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 begin this week back at the Securities & Exchange Commission, where the Lord giveth and the Lord taketh away. One week after the Trump Administration moved forward with nominating Allison Lee to fill a long-vacant Democratic commissioner seat at the SEC comes word that the agency’s other Democratic commissioner, Robert Jackson, wants to go back to teaching this fall. Democrats may try to persuade Jackson to remain in office until his successor gets confirmed.

Big news from Detroit: Raphael Richmond, global director of compliance at Ford Motor Co. since 2013, left that role this month to be director of corporate compliance and employment law at La-Z-Boy. Richmond, a delightful person, had been with Ford in various roles for 22 years. One assumes she has a comfortable chair in her new office.

The troubled New York City Housing Authority has overhauled its compliance function. Out is Vilma Huertas, who had been chief compliance officer at the agency since last July. She was criticized as an insider and political appointee with little true compliance officer experience. (Huertas will remain as a special adviser to the NYCHA chair, which sounds like political patronage job to me.)

compliance jobsThe NYCHA also named three other compliance staffers: Daniel Greene, who is acting chief compliance officer; Patrick O’Hagan, acting environmental health and safety officer;  and Cathy Pennington,  acting quality assurance officer. That’s a lot of acting staffers, which suggests that NYCHA has more compliance personnel restructuring to come. Stay tuned.

Deena King has left her job as director of compliance at Texas Woman’s University to be chief compliance officer at another school, although King hasn’t yet declared where that is. Now running point for ethics and compliance at TWU are Kimberly Grubb and Katherine Antwi Green.

Mark Speck, long-time compliance and audit chief at CPA Global until 2017, and then running his own consulting business for two years, just turned up as CFO at Maslow Media. Speck says he will “make sure this company has compliance as part of DNA” (good) and has high hopes for the Red Sox this year (improbable).

Michael Lemker has been promoted at Unico Properties Corp. in Seattle, to vice president of compliance. Lemker has been with Unico since 2013 and previously was senior director of compliance and investor relations.

Irina Lazieva just took a job as chief counsel for anti-corruption compliance at KBR. Lazieva had previously worked at 3M for nearly six years in various roles, and most recently was 3M’s senior compliance counsel for investigations. Unclear whether Lazieva will relocate from Minneapolis to Houston — ideal in January, less so in August.

CQuentia, genomic testing labs based in Fort Worth, Texas, has named Ashley Graham chief privacy officer and senior compliance specialist. Graham was previously at Children’s Health System of Texas as compliance partner.

Khiron Life Sciences Corp., a marijuana business headquartered in Toronto with core operations in Latin America, has named Larry Holifield security and compliance director. Holifield previously was a senior executive at the U.S. Drug Enforcement Administration working in the Mexico and Central America regions.

Municipal Credit Union in New York City recently named Amanprit Kaller its chief audit executive. Kaller comes to MCU from JP Morgan Chase, where she was executive director of internal audit. The credit union also named Richard Cowell chief risk officer; he most recently was head of enterprise risk management at Apple Bank.

Lisa Fine, last seen in November leaving her job as director of global compliance at the Gate Group, has turned up at Pearson as director of compliance for the Americas region. Fine goes from working in suburban Virginia to downtown Washington. #winning

Brian Kearns joined USAA this spring as senior adviser for regulatory compliance and risk training. Kearns comes to USAA from HSBC, where he held a similar role in compliance and risk training.

Archer Daniels Midland has promoted Mary Phillips to regional compliance officer for Latin America and the Caribbean. Phillips has been with ADM since 2011 in numerous international compliance roles.

Speaking of international compliance news…

UP Fintech Holding Ltd., an online brokerage based in China, has named Katherine Wei Wu global chief compliance officer, a new position at the company. Wu has previously held compliance management roles at RBS Securities, Mitsubishi UFJ, and other financial firms.

Changing of the guard at Heritage Bank Corp. in Nigeria: chief compliance officer Adewumi Adeniyi is stepping down from the bank after 37 years of service. He will be succeeded by Oluwatomi Ojo. Nice picture of Adeniyi’s farewell cake in the Nigeria Business Post.  

Oliver Huggins has joined MarketAxess, an electronic trading platform for fixed-income securities, as chief risk officer. Huggins previously worked at the London Stock Exchange as chief operating officer for risk and head of financial risk.

And in Chile, Andres Toledo has joined BHP as a compliance specialist. He comes to BHP from SQM, another mining business working in South America, where he held a similar role.


Stoica Mihaela-Corina is celebrating one year at Erste Bank in Romania, where she is head of financial services compliance.

Vendors and Service Providers

Maria Vullo, former superintendent of the New York Department of Financial Services, has joined Accenture’s FinTech Innovation Lab New York as a regulator-in-residence.

Open Req Orders

Standard Chartered is looking for a director of anti-bribery and corruption compliance for Europe and the Americas. Job is based in London.

Ameren Corp., a gas and electric utility based in St. Louis, is looking to fill a newly created chief ethics and compliance officer role. Recruiting firm Major, Lindsey & Africa is handling the placement.

The Federal Retirement Thrift Investment Board is recruiting a chief audit executive. Job is based in Washington. JDG Search is handling the placement.

Meme of the Week

That’s all for the week ending April 19. Happy Easter and Passover to all. 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.

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