Compliance Jobs Report: April 17

Lots of material in the Compliance Jobs Report this week. Comcast poached a new CCO; Georgia Tech keeps building out its compliance function; and we have scads more personnel news around the world. And in open positions: the company in the lead for a Covid-19 vaccine is looking for a CCO. Lots more industry gossip, too. 

A special thanks this week to all the compliance people sending me tips and links to keep this report going. We need your help to make the Report work, so send me some news. If you have a tip to pass along, email me at [email protected] or find me on LinkedIn.

Compliance Jobs News

We begin with cable and internet giant Comcast, which just named Candy Lawson chief compliance officer and senior deputy general counsel. Comcast grabbed Lawson from 21st Century Fox, where she had also been chief compliance officer. Lawson also ran international compliance for Disney after Disney acquired Fox last year.

Georgia Tech just hired Kara Tucker as its first-ever director of ethics and compliance; Tucker will start at the end of April. She comes to Georgia Tech from Truist (previously known by the much better name SunTrust Bank), where she was head of the enterprise ethics office. Tucker is Georgia Tech’s latest hire as it tries to build up an enhanced ethics and compliance function

Keith Henderson just joined Syracuse University as chief compliance officer. Henderson comes to ’cuse from Morehouse School of Medicine, where he was chief compliance and corporate integrity officer. We wish him well, and wonder whether he’ll revisit the wisdom of relocating from Atlanta to upstate New York by next winter. 

Wyndham Capital Mortgage has hired Barbara Boccia as senior vice president of risk and compliance. Boccia had been working as a solo regulatory compliance consultant for a few months, and previously was a senior director of advisory services at Wolters Kluwer

And staying in the mortgage industry: Kwik Mortgage Corp. in New York has named Kyle Palmer chief compliance officer. He joins Kwik from Residential Home Funding Corp., where he had also been chief compliance officer. 

A few updates from Brazil… 

Banco Modal has named Juliana Sanfins compliance manager. Sanafins previously worked at Hub Capital in Rio de Janeiro as head of legal and compliance. 

Hash, an awesomely financial services firm in Sao Paolo, has hired Carolina Alencar Marchesano as compliance counsel and head of regulatory compliance. Marchesano comes to Hash from Febraban, where she had been a compliance counsel. 

Jorge Paixao has joined Credilink as data privacy officer and head of compliance. He previously worked at Gas Natural Fenosa, an energy firm in Rio, as senior counsel. 

And Siemens’ Brazil unit just promoted Marcela Coelho e Mello Souza from compliance officer to general counsel. Souza has worked at Siemens in various legal and compliance roles for 12 years. 

Elsewhere around the world…

IPSX, a market exchange for real estate securities, has named Dan Phillips head of market regulation. Phillips previously was chief compliance officer for Bloomberg, based in London. 

KT, the second-largest mobile phone company in Korea, has recruited Kim Hee-kwan to lead a newly souped up compliance program, which will consolidate ethics and legal compliance into one function. 

In Mexico, food maker Mars has named Mariana Cardenas head of governance for Latin America. Cardenas comes to Mars from Walmart, where she had been assistant compliance director for Mexico. 

Also in Mexico, Stryker Corp. hired Monica Gutierrez as senior compliance officer. Gutierrez last worked at Johnson & Johnson, where she was healthcare compliance officer for the Mexico market. 

Talk about going up! In Germany, Thyssenkrupp Elevator promoted Elena Garcia Aguado from compliance officer to head of compliance and corporate governance. She’s been with Thyssenkrupp since 2015.

Merck Polsa (that is, the Polish division of Merck & Co.) has named Ewa Ligaj compliance officer. Ligaj previously worked at Sandoz for nearly five years in compliance roles around Poland and eastern Europe. 

BioMérieux, a French medical diagnostics firm, has hired Akshi Jain as compliance manager for its Asia-Pacific operations, working from Singapore. Jain comes to BioMérieux from GE Healthcare, where she was a compliance manager since 2018.

OK, back to the United States… 

In Little Rock, Ark., Allan Kerr has joined OneShare Health as senior vice president for regulatory affairs. Kerr previously was the state insurance commissioner for Arkansas, since 2015.

Quantum Private Wealth, an investment firm in Chicago that caters to high-net worth individuals (so I’m out), has hired Todd Gambit as chief compliance officer. Gambit had been running his own investment advisory business for a few years. 

Some of you might remember Ellen Richey, who retired from Visa last year after more than 10 years as chief enterprise risk officer. She just turned up on the board of Green Dot Corp., a fintech and bank holding company in Pasadena, Calif. Richey will serve on the board’s risk committee. 

Melinda Burrows has joined PRA Health Sciences, a health research business, as assistant general counsel for ethics and compliance. Burrows comes to PRA from NetScout, where she was assistant vice president for risk management and compliance. 

eBay has hired David Wolfe as ethics and compliance counsel. Wolfe comes to eBay from Apache Corp., where he held various compliance roles since 2014. Wolfe is based in Austin, Texas. 

And Lawrence Berkeley National Laboratory, a federal research lab affiliated with the University of California, has named Mercedes Baumbach manager of contracts assurance. Baumbach comes to Berkeley Labs from Bank of the West, where she’d been hanging out doing compliance analytics and reporting. 


Stephanie Chin is celebrating one year as chief compliance counsel at Poly, which is the most Silicon Valley name for a tech company ever.

Mary Shirley just hit five years at Fresenius Medical Care, where she is currently senior director of ethics and compliance. 

Donald Griffith is celebrating 10 years as head of financial crimes and fraud prevention compliance at MassMutual

Vendors & Service Providers

The law firm Vinson & Elkins just grabbed Michael Ward, formerly chief risk and compliance officer at Juniper Networks, to work as a partner in its San Francisco office. Earlier in his career Ward also had compliance jobs at Target, Adobe, Cisco Systems, and McKesson.  

Open Req Orders

First, Moderna Therapeutics is looking for a global risk and compliance officer. These are the folks racing forward with development of a Covid-19 vaccine, and just won a $483 million pledge from the Trump Administration to ramp up manufacturing. Job is based in Cambridge, so if you get it I’ll treat you to coffee. 

Los Angeles Community College District is recruiting for two positions: a senior compliance director and an ADA compliance director

Gates Corp. is looking for a vice president of internal audit. Job is based in Denver. 

Compliance 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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