Compliance Jobs Report: Aug. 27

The Compliance Jobs Report this week includes new hires at Vivint, Tradeweb, and Vertex; a high-level departure from Fidelity; several promotions; and job leads from California to Ohio to Massachusetts. Our meme of the week goes out to covid vaccinations.

As always, thank you 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 Vivint, the smart-home technology company based in Utah; it just named Daniel Garen chief ethics and compliance officer. Garen joins the company ($1.4 billion in revenue) from the law firm DLA Piper, where he had been a partner for the last 18 months. Some of you may remember Garen from his days at Danaher Corp., where he was chief compliance officer in the mid-2010s.

Fidelity Investments has lost its chief compliance officer, Carrie Chelko. She is joining Jackson Financial Corp. as general counsel starting next week. Chelko had been with Fidelity since April 2020 as chief compliance officer of the retirement giant’s personal investing division. 

Citigroup has promoted Nicolette Martin from risk head for Citi’s private bank residential real estate business, to transformation execution leader (awesome title!) for compliance. Martin has been with Citi in various roles for seven years.

Also promoted: Christopher Porter, from global ethics and compliance operations manager to senior manager of global ethics and compliance, at Covertus, the veterinary medicine business headquartered in Maine. 

Tradeweb, an operator of electronic trading markets for various financial products, has hired Devi Shanmugham as global head of compliance. She comes to Tradeweb after six years at Bloomberg, where most recently she was regulatory counsel and chief compliance officer for Bloomberg’s swaps execution facility. 

Waystar, a technology firm in Kentucky that sells software to manage healthcare payments, has hired Erna Sehic as legal and compliance manager. Sehic joins Waystar from health insurance giant Humana, where she had been manager of compliance research and reporting. 

Robin Ashby has joined Vertex (the tax software firm in Philadelphia, not the pharmaceutical company in Boston that goes by the same name) as audit director and head of IT compliance. Ashby previously worked at Qurate Retail Group, owner of the QVC shopping network and several other retail businesses, as audit director.

Remember Joanne Wallington, former chief audit executive at the D.C. Housing Authority until she joined financing firm Kapitus earlier this year? Wallington has already moved on, joining online payments firm Stripe as product counsel. 

Westpac, one of the largest banks in Australia, has promoted Ashim Prabhakar from anti-bribery and corruption lead to executive manager for financial crime. Prabhakar has been with the bank for two years. 

And Finverity, an awkwardly named supply chain financing firm headquartered in London, has hired Brett Downes as chief risk officer. This is especially noteworthy because Downes is a former chief risk officer of Greensill Capital — the supply chain firm that collapsed earlier this year amid allegations of accounting fraud and financial impropriety. Downes was CRO at Greensill from 2015 until spring 2020, when the board asked him to take a sabbatical. The company then went to pieces, and Downes was hired by Grant Thornton earlier this year to help the firm (named administrator of the defunct business) to help recover assets. Downes is refreshingly frank about Greensill’s governance and technology woes, if you care to read his thoughts on the matter. 


Sad news from Florida: Patricia Maher, regulatory and compliance specialist for AdventHealth Central Florida for the last three years, died last Saturday of Covid-19. Her husband, Chip, says Patricia was fully vaccinated but was also immunocompromised from underlying health conditions. 

Open Req Orders

Panasonic Avionics is looking for a manager of policy, communications, and investigations in its compliance function. Job is based in Lake Forest, Calif.

Foundation Medicine is looking for a chief compliance officer. Job is based in Cambridge, Mass. (global headquarters of Radical Compliance, ya know).

Express, the clothing retailer that sells fashion I’m too old to wear, is seeking an internal audit manager. Job is based in Columbus, Ohio.

Compliance Meme of the Week

That’s all for this week’s report.

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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