Compliance Jobs Report: Nov. 5

The Compliance Jobs Report this week has a bunch of new hires in the financial services world, from Nomura to Citi, PNC to FNB South Africa, and even some outfit called the Humm Group. We also have new hires in international development, healthcare, manufacturing, and more; plus job leads in Boston, Nebraska, and Minnesota. Meme of the Week goes out to the Squid Game.

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 this week in financial services, where has hired C.J. Rinaldi as its first-ever chief compliance officer. Rinaldi comes to, which provides various cryptocurrency services to investors, from Deutsche Bank Securities, where he was head of markets compliance for the Americas. He will report to the chief legal officer. 

Also in financial services, Nomura Holdings has hired Vijay Sundaram with the ungainly title of global head of wholesale front office risk and control. This is a new position, where he will be responsible for strengthening Nomura’s first line of defense and globalizing front office risk capabilities across financial and non-financial risks. Sundaram was previously chief risk officer at the Jefferies Group for 18 months, and spent 17 years in risk management roles at UBS before that.

Katie Granville has moved over to Allspring Global Investments as chief auditor. Allspring is the business formerly known as Wells Fargo Asset Management, which Wells sold to private equity owners earlier this year; Granville had been a senior vice president and head of controls, governance, and support at the old firm too. Allsprings just recently made its formal debut, and announced its first chief compliance officer last week.

Compliance jobsLee Hatton has left his job at Barclays, where he had been a compliance manager for the last 10 years, to join the delightfully named Humm Group as senior compliance manager. Humm apparently is some sort of consumer financing startup “revolutionizing the way people pay.” Whatever, I just like the name. 

In London, Max Beilby has left HSBC, where he had been a conduct and culture manager for almost two years, and moved across town to Citigroup as senior vice president of conduct, culture, and ethics. 

FNB South Africa, a digital bank in that country, has moved Ramatsimela Mphahlele into the new role of client desirability risk analyst — which is the best job title I’ve heard in ages. (“Apologies, client, but we won’t be working with you. You’re not desirable.”) Mphahlele has been with FNB South Africa in several roles over the last six years. 

Michael Gioffre has a new role within the PNC empire. Gioffre had been chief compliance officer at PNC Capital Advisors since 2018; now he is director of strategy and planning for PNC AMG, the bank’s asset management office. Still keeping it real in Philadelphia, too.

OK, enough with the financial services people…

Scott Avelino has joined Relief International as chief ethics and compliance officer. Avelino had previously been a principal consultant at Compliance Systems Legal Group, and he’s also the chief ethics officer at the Ethics & Compliance Initiative on a pro bono basis. Avelino is also no stranger to working with relief organizations; in the mid-2010s spent a few months as interim head of ethics and compliance for the International Rescue Committee. 

Health insurance giant Anthem has promoted Jared Prentice, from compliance manager to Level I compliance director. Prentice has been with Anthem since 2019; he’s based in Indianapolis.

Dominique Abrokwa has moved up the ladder at Hitachi. Abrokwa joined the company in February as head of integrity for Hitachi ABB Power Grids; now he is global head of integrity for Hitachi Energy.

Maíra Ayres Torres has joined the Chiesi Group, a pharmaceutical company based in Italy, as a compliance officer in Chiesi’s Brazil operations. Torres comes to Chiesi after several years at EY as a senior consultant in compliance and integrity, with a few months as a compliance lawyer under her belt, too. 

Signify, the Dutch lighting business formerly known as Philips Lighting, has hired Ahmad Al-Sagarat as a fraud investigations manager in the company’s Dubai offices. Al-Sagarat previously worked at Oracle for two years as a lead in the ethics and compliance investigations team in Dubai. 

Also in Dubai, Muhammad Larik has joined CreativeZone, a business incubator there, as compliance project manager. Larki comes to the incubator from Sharjah Media City, another business development concern, where he had been leader of the compliance department. 

Liberty Dental Plan in Irvine, Calif., has hired Ashley Wallis as lead compliance analyst. Wallis comes to Liberty Dental after four years as privacy investigator for Inland Empire Health Plan

Iriana Vera has a new role at Schindler Elevator Corp., moving from regional compliance officer for South America’s southern cone (based in Chile) to regional compliance officer for the United States (based in Los Angeles). Vera has been with Schindler in various compliance roles since 2013. 

Promoted: Tekla Surguladze, at Bose Corp., from international compliance manager to senior manager of corporate compliance and business ethics. 

Also promoted: Aaron Tidman, at Pinterest, from global compliance counsel to senior counsel and compliance lead, overseeing regional compliance in North America, LATAM, EMEA, and APAC. What, no regional compliance officer for Antarctica? 

Over in Denmark, medical device maker Ambu A/S has promoted Casper Venbjerg Hansen from director of business ethics and compliance to chief risk and compliance officer. Hansen has been with Ambu since August 2020.

Alpa Parikh has been promoted too, from senior director of internal audit to vice president of internal audit, at Smartsheet, a business collaboration software system based in Seattle. 

And remember Janice Innis-Thompson, chief compliance officer at TIAA-CREF and Samsung Electronics America back in the 2010s? She has just been named to the board of MBIA, an insurer of municipal bonds and asset-backed securities. Innis-Thompson will serve on the audit, risk, and governance committees. More compliance professionals on boards!

Open Req Orders

NTT Data Services is looking for a compliance specialist to work in its business process outsourcing operations. Job is based in Lincoln, Neb. 

The City of Boston Credit Union is looking for a chief compliance officer. Job is based in Boston, but in cool offices next to Faneuil Hall, not the brutalist monstrosity otherwise known as City Hall. 

Hormel Foods is looking for an ethics and compliance manager. Job is based in Austin, Minnesota. 

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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