Compliance Jobs Report: June 7

Another big Compliance Jobs Report this week! We have shakeups at Deutsche Bank and Conduent, a new chief compliance officer at Unisys, a bunch of appointments in higher education, and much more. Lyft is building up its ethics and compliance team; we have a few other job openings of note, and our Meme of the Week goes out to Drake fans yet again.

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

One of Deutsche Bank’s top regulatory affairs executives in the United States, Kate Clifford, has left the bank after a year on the job. Clifford had been DB’s chief operating officer for the Americas. This would be the same Deutsche Bank that recently admitted its AML compliance program was screwy due to a software glitch, and is staring down a subpoena from House Democrats who want to see its financial dealings with President Trump.

Unisys, the technology firm and big-time government contractor, has named Karen Moore chief compliance officer. Moore had been on sabbatical for the past 18 months (we all need those from time to time), and previously headed up ethics and compliance at Nasdaq, Philip Morris, and Inchcape Shipping Services.

Conduent, a business services company that has struggled with strategic leadership issues lately, has promoted Mario Pompeo from chief audit executive to chief accounting officer. Pompeo has been with the firm since August 2017. He succeeds Allen Cohen, who is leaving Conduent to “pursue other career opportunities.” Conduent hired a new COO and had a spat with activist investor Carl Icahn earlier this year, and Cohen’s departure does not seem related to any financial reporting issues.

Compliance jobsBank of America has promoted Andrew Weinberg to global head of equities compliance and operational risk. Weinberg has been at BofA since 2015, and previously was managing director for global banking and markets compliance.

Jose Vincente Sabater has been named head of internal audit for ESTEVE, a pharmaceutical firm in Spain. Sabater comes to ESTEVE from Prosegur, a security firm, where he had also been head of internal audit.

Ann Barrett has been named internal audit manager at MillerCoors in Milwaukee. Barrett previously spent nearly five years at Johnson Controls in compliance and GRC roles. Drink!

New York’s Metropolitan Transportation Authority has tapped Carolyn Pokorny to be the agency’s next inspector general. She is a former federal prosecutor, and succeeds Barry Kluger, who retired. Pokorny promised to work against “waste, fraud, mismanagement and abuse” — but then, doesn’t everyone?

University of Texas at Dallas has promoted Marco Mendoza to director of institutional equity and Title IX compliance. Mendoza has been at UT-Dallas since 2013. Most recently he was a director in employee relations there.

Also in higher education, Drexel University has named Kim Upshaw its new chief compliance, privacy, and internal audit officer. (The title is a mouthful, but nice to see that compliance comes first.) Upshaw comes to Drexel from TridentUSA Health Services, where she was vice president of compliance and privacy. She succeeds Ed Longazel, who retired in 2017.

And Baylor University has promoted Zoe Nagle to senior director of university compliance and risk services. Nagle has been at Baylor since 2017.

Copy that: In Norwalk, Conn., Xerox has named Shahzad Khawaja its new chief audit executive. Khawaja previously worked at Providence Service Corp. as chief audit executive for three years.

Lara Delamarre just joined Danone as head of investigations. She comes to the French food giant from the law firm Cohen & Gresser, where she had been of counsel. Delamarre will be based in Paris.

Light Bank, which bills itself as an “open banking project” in Milan (please, like you wouldn’t work at a project if it meant you could live in Milan), has named Elena Dossi as compliance specialist. She previously was a research assistant at Universita Bocconi.

In Amsterdam, has named Maarten Westermann chief risk officer. Westermann had been working as a consultant for two years, and prior to that worked in compliance roles at several companies in London or Amsterdam.

Gateway First Bank, a mortgage bank based in Oklahoma, has named Natalia Coen chief compliance officer. Prior to joining Gateway, Coen was director of compliance at CoBiz Financial, a $3.8 billion financial services holding company in Denver.

In Phoenix, Sarah Blankenship has been named manager of the reliability compliance program for the Salt River Project, a water and power utility. Blankenship had been consulting for a while and has been working in the power & water sector for years.

And in regulator world, the Securities and Exchange Commission has named Marshall Gandy co-associate director of the Investment Adviser/Investment Company examination program in the Office of Compliance Inspections and Examinations. Gandy has been with the SEC in various roles since 1999.


Wendy Henoch is celebrating one year as director of compliance at OhioGuidestone. It’s in Ohio.

Vendors and Service Providers

New vendor! Washington-area lawyers Warren Allen and Ray McKenzie, ex-Skadden Arps guys, have formed a boutique law firm called WTAII working on investigations and compliance issues.

Open Req Orders

Lyft is hiring a director of ethics and compliance. Alix Rosenthal, vice president of compliance at Lyft, would be your boss.

National Instruments is looking for a lawyer to join its ethics and compliance team. Interested parties should drop a line to Tracy Feanny, NI’s associate general counsel. Job is based in Austin.

Boston Medical Center is recruiting a director of compliance. Must like Boston.

Meme of the Week

That’s all for this week. 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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