Compliance Jobs Report: Oct. 25

The Compliance Jobs Report has lots of moves up the ladder this week, with promotions or new reporting relationships at Terex, Jaguar Health, Northwestern Mutual, and elsewhere. AXA has a new chief auditor, SNC-Lavalin’s former compliance officer has gone consultant, and we have job openings from Minnesota to the South Atlantic. Our Meme of the Week is a wee bit of heresy about cybersecurity.

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

AXA Equitable Holdings, an insurance firm with $690 billion in assets, has named Stephanie Withers chief auditor. Withers will be based in Charlotte and report to the CEO. She previously worked as chief credit review officer at SunTrust Bank, before SunTrust merged with BB&T and rebranded itself as Truist Financial, the worst name in banking history.

Stacy Babson-Smith, the long-time chief ethics and compliance officer at Terex Corp., will now report directly to company CEO John Garrison. Babson-Smith previously reported to general counsel Eric Cohen, who’s leaving Terex at the end of the year, so she gets the upgrade. We approve.

Promoted: Jonathan Wolin, from chief compliance officer to general counsel and chief of staff (!!!) at Jaguar Health. Wolin had been chief compliance officer at Jaguar for the past year, and earlier in his career he worked at Natera and Pacific Pulmonary Services. He is based in the San Francisco Bay Area, so here’s hoping his lights are still on.

Boston Mutual Life Insurance has reorganized its risk assurance functions. The firm has created a new enterprise risk management department, which will be headed by current chief risk officer Joseph Sullivan. Boston Mutual’s internal audit team will now be part of the ERM function, “resulting in enhanced organizational alignment and integrity” — which actually can be true, although we hope nobody gets enhanced and aligned out of a job. 

In Chicago, Markena Peavy has joined USAA as a compliance consultant. Peavy was last seen at MB Financial Bank where she had been a vice president of compliance until earlier this year, and also teaches at DePaul University these days. 

Waud Capital Partners, a private equity firm, has named Leslie Boles director of compliance audit for its healthcare portfolio. Boles comes to WCP from St. Peter’s Healthcare, where she most recently was compliance audit manager. 

Lorraine Ship has a new job as internal audit manager for EnLink Midstream in Dallas. Ship previously was forensic audit manager for Pioneer Natural Resources Corp.

Also promoted: Lisa Brzycki, from senior director of legal strategy to vice president of information risk and cybersecurity, at Northwestern Mutual in Milwaukee. Brzycki has been with Northwestern since 2015. 

And one last promotion, all the way from Saudi Arabia: Tariq Radwan, from senior compliance monitoring officer to senior compliance advisory officer, at National Commercial Bank. Radwan has held various compliance roles at the bank since 2015. 

As we reported earlier this week, the chief compliance officer at private equity firm GPB Capital has been indicted for stealing confidential data from the Securities and Exchange Commission while he was still employed there. Crazy story, give it a read. 

And all the way from China, Everbright Securities, a brokerage based in Shanghai, disclosed that its chief compliance officer Chen Lan has left the firm for “personal family reasons.” Everbright has seen a string of executive departures since it bungled a big acquisition deal earlier this year and is now in litigation up to its ears.


No milestones this week! Someone hit a work anniversary or win an award or something. 

Vendors and Service Providers

Amee Sandhu, previously a regional compliance officer and head of human trafficking compliance for SNC-Lavalin, has set up her own consulting shop, Lex Integra Professional Corp. Still based in Toronto, aka Hogtown. 

Open Req Orders

The Mayo Clinic is seeking an international compliance officer. Job is based in Rochester, Minn. 

Progressive Leasing is looking for a compliance manager for issue management and regulatory reporting. Job is based in Salt Lake City. Candidates should be good at managing their issues. 

The Government of St. Helena is looking for a deputy chief auditor. St. Helena is in the South Atlantic (where Napoleon spent his final years in exile), so if you want to get away from it all, this job is for you. Apparently St. Helena has been on an audit hiring spree, since this is the second posting we’ve listed from them this year

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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