Compliance Jobs Report: Oct. 18

Lots of big names in the Compliance Jobs Report this week. We have moves at Walmart, the University of North Carolina, Citi, Convercent, and many more. We have job openings from New York to California to Saudi Arabia, and our Meme of the Week goes out to stubborn general counsels. 

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 down south, where the University of North Carolina has named George Battle to the newly created role of vice chancellor for institutional integrity and risk management. It’s a wide-ranging role that includes ethics and compliance, public safety, enterprise risk management, and EHS. Battle was previously general counsel to the Charlotte-Mecklenburg Board of Education. I prefer UNC over Duke any day. 

Jason Haynes, Citi’s head of internal audit in the United Kingdom, apparently is leaving that role after five years to join Brown Shipley, a private bank in London, as its internal audit chief. He succeeds Drew Stafford, who is “taking up a role elsewhere.”

Hannah Putnam has a new role at Fresenius Medical Care North America, shifting from ethics and compliance officer for clinical and physician services to ethics and compliance officer for the renal therapies group. Putnam has been with Fresenius in various roles since 2015.

compliance jobsDCBank, which is based in Toronto, has name Laura Houlihan chief compliance and anti-money laundering officer. Houlihan comes to DCBank from OTT Pay, where she’d also been chief compliance and AML officer. 

In New York, Seth Cohen has joined professional services firm Alvarez & Marsal as director of global compliance — and that’s an internal role, running the firm’s own compliance efforts; not running the firm’s compliance services practice. Cohen comes to A&M from payroll processor ADP, where he was managing counsel for global compliance. 

Katie Smith is moving on from her role as chief compliance officer at Convercent, to be vice president of ethics at Assurant starting early November. Smith worked at Convercent since 2016, and previously held ethics and compliance roles at USAA. She will be moving from Denver to Atlanta. 

Receivable Solutions Inc., a provider of revenue cycle management services to hospitals and health systems, has named LaDonna Bohling chief compliance officer. Bohling comes to RSi from Contract Callers in Augusta, Ga., where she had been chief compliance officer. 

iSTOX, a financial services firm in Singapore, has named Lim Mei Shern head of compliance. Lim comes to iSTOX from the Monetary Authority of Singapore, where she worked in various roles for more than 15 years. 

Dan Goldenberg has joined Advance Care Alliance in New York as compliance manager. Goldenberg previously worked at Visiting Nurse Service of New York as a regulatory compliance specialist. 

After two years heading up AML compliance for Standard Chartered in Oman, Aziz Mahdi says he is relocating back to the United Arab Emirates. He will continue working on AML compliance in the bank’s UAE corporate and commercial operations.

Alejandro Alcalde has been promoted at Flex, an engineering services firm. He is now director of trade compliance in the Americas, working from Guadalajara, Mexico. Alcalde had been import-export director at Flex for the last five years. 

Gateway First Bank, a mortgage bank based in Oklahoma, has named Peter Moenickheim chief risk officer. Moenickheim comes to Gateway First from Ocwen Financial, where he’d also been chief risk officer. This is Gateway’s second C-level hire in risk assurance recently; the firm named a new chief compliance officer in June

We noted last week that Shawn Rogers left his job at General Motors as compliance training lead. Turns out Rogers decamped to Walmart, where he will be senior director of global ethics and compliance training. He’ll be working at the mothership in Bentonville, Ark.

The Capitala Group, a lender lower middle-market companies, has added the chief compliance officer title to Kevin Koonts, who is already Capitala’s chief accounting officer and treasurer. Can’t say I love combined roles, but to each their own. 

TruClarity Wealth Advisors, a registered investment adviser based in Tampa, Fla., has named Catherine Mustico chief compliance officer. Mustico comes to TruClarity from Elara Securities based in New York. 


In Irving, Texas, Lara Chalmers is celebrating one year as head of internal audit at Flowserve

The National Health Care Anti-Fraud Association has named Sally Walker, vice president of enterprise risk management at Blue Cross Blue Shield of Massachusetts, as chair of the NHCAA board of directors for 2020. Walker succeeds Roger Purnell, director of special investigations at BlueCross BlueShield of North Carolina.

Vendors and Service Providers

Investigations firm Narello & Co. has named Iman Dawoud director of its Dubai office and associate managing director. Dawoud comes to Nardello from GPW, another investigations firm in the region. 

Open Req Orders

Careem, a ride-hailing app in the Middle East with, let’s all admit, the cleverest name ever, is looking for a senior compliance manager. Job is based in Saudi Arabia. You would also get the chance to work with Tomell deSilva Caesar, considered the best-dressed compliance officer in the Middle East.  

Monterey County on the California coast is seeking a controller and deputy chief auditor (one consolidated role). Job is based in Salinas, Calif. Must love that sun-drenched California lifestyle and be willing to tolerate occasional power cuts.

PIMCO Investments is looking for a chief compliance officer. Job is based in New York.

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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