Compliance Jobs Report: March 29

Another big Compliance Jobs Report heading into the Easter Weekend. We have updates from a few universities, a few banks, a few luxury life businesses, and lots of other companies. We also note the passing of an SEC trailblazer; have job leads in phones, medical devices, and grammar; and our Meme of the Week.

Always remember that we need your help to make the Report work, so send me some news! You can easily find updates from your LinkedIn contacts by visiting the My Network tab on your own profile and then checking the Stay in Touch option at the top of that page. 

We also take any other gossip you might have, even confidentially. If you have a tip to pass along, email me at [email protected] or find me on LinkedIn.

Compliance Jobs Report

This week we begin in higher education. Boyd Kumher is stepping down as chief compliance officer at the University of Minnesota, to take a job as vice president for enterprise risk management at Case Western Reserve University in Ohio. This is a homecoming for Kumher; he previously worked at Case Western from 2010 to 2016 as the university’s chief compliance officer. He served as CCO of U-Minnesota 2016 until now.

The University of Washington has promoted Jane Yung from executive compliance and risk officer to chief compliance and risk officer. Yung’s promotion is part of a larger university reorganization, where the school’s compliance, risk, public records, and privacy functions were all consolidated into a single office (now overseen by Jung). Jung has been with the school in various legal and compliance roles for more than 20 years.

Compliance jobsNebraska Medicine, a hospital system affiliated with the University of Nebraska, has promoted Kristy Kiviniemi from director of compliance and regulatory services to executive director of compliance and internal audit. 

In non-education news, yacht retailer MarineMax has hired Jason Williams as SOX compliance manager. Williams comes to the company (based in Florida, of course) after a few years at BDO, where most recently he was an audit manager. One hopes he gets some free yacht rides as part of the compensation package.

Paula Pereira has parted ways with Norwegian energy firm Statkraft. She had been the company’s head of compliance for continental Europe. No word on what she might do next. 

Tania Olivero is no longer with Legacy Mutual Mortgage. Olivero had been chief compliance officer at the New Jersey firm for the past 10 years. No word on what she might do next.

Ferrari Financial Services has hired Anthony Fattizzi as compliance manager. Fattizzi comes to the New Jersey-based firm from Weichert Financial Services, where he spent the previous nine years as chief risk officer. Working for Ferrari, of course he has a cool LinkedIn photo.

LPL Financial has promoted Vanessa Chen from quality control manager in financial crimes compliance to assistant vice president. Chen has been with LPL since 2017.

Health insurance giant Humana has hired Carrie Whitaker as director of compliance. Whitaker comes to the company after a year at Solera Health, where she had also been director of compliance. 

PSC Group, a logistics firm working in the chemicals industry, has promoted Michelle Auberzinsky, from site supervisor to training and compliance leader. 

James Lovatt has joined the Santander banking empire, serving as chief compliance officer for Santander’s corporate and investment banking division. Lovatt joins Santander after nine years at TD Securities, most recently as head of financial crime and compliance for Europe and Asia-Pacific.

Katie Aulwes has moved into a new role at AbbVie, from associate director for marketing compliance to associate director for field compliance. One assumes this means she’ll get out more often.

Sam’s Club has hired Donte Young as a compliance manager. Young comes to the Club after three years at Walmart (its parent company), where most recently he had been a receiving area manager. 

Over in London, hedge fund Farallon Capital Management has promoted Kathie Mathieson from legal counsel to chief compliance officer. She’s been with the firm five years.

USAA has promoted Dominique Dobard, from senior internal auditor to internal audit manager. She has been with the financial services giant since 2021.

Design services firm Stantec has promoted Sylvia Graciano, from senior manager of internal audit to director of internal audit. Graciano has been with the firm since 2014.

Marqeta, a company that makes private-label payment cards for others, has hired Ashely Sasaki as senior manager of internal audit. Sasaki comes to Marqeta from Lyons Magnus, a food company in California, where she had been assistant controller for the last year. 

Energizer Holdings has hired Andrea Botello as a senior audit analyst. Botello previously worked at accounting firm Clifton Larson Allen for five years, most recently as a senior audit associate.

Luz Benito has been promoted at Honeywell, from principal export compliance officer to senior trade compliance manager. Benito has been with Honeywell since 2021.

Sutapa Sengupta has joined Nomura Asset Management as vice president of compliance. Sengupta comes to Nomura from the TCW Group, where she had been head of investment compliance.

And this is interesting: Patrick Donegan left his job as global chief compliance officer at cryptocurrency trading platform OKX in January, staying there only six months. (Credit to CoinDesk for noticing this departure first.) No word on why Donegan left or what he’s doing now; before OKX he had been chief compliance officer at Signature Bank, the crypto-friendly bank that imploded one year ago.


Tomell deSilva Ceasar, widely considered the best-dressed compliance professional in the Mideast, is celebrating one year as head of governance, risk, and compliance at the Cenomi Group.

Valerie Charles is celebrating one year at Toyota Motor Corp. where she is senior director of global compliance risk and governance.

Amber Thomas just hit one year as chief compliance officer at Therapy Brands, which provides back-end IT systems to therapy practice groups (“less swearing, more caring”). 

Shetikee Ware is celebrating five years as director of compliance, quality improvement, and delegation at Premier Eye Care in Tampa, Fla. 

And Gabriel Sanchez is celebrating 10 years with Citigroup. These days he is audit head for the global wealth banking and lending division.

We also wanted to note the passing of Roberta Karmel, first female commissioner at the Securities and Exchange Commission, who died last week at age 86. Karmel served at the SEC during the Carter Administration in the 1970s, and then spent many years teaching at Brooklyn Law School. Trailblazer.

And for lack of anywhere better to put this, Ericsson has reached its own corporate compliance milestone: the company’s independent compliance monitor has certified that Ericsson’s compliance program has fulfilled all requirements stemming from Ericsson’s FCPA case settled back in 2019. The company’s deferred-prosecution agreement is scheduled to end in June.

Open Req Orders

Speaking of Ericsson, the company is looking for a head of North America compliance. The job is based in Plano, Texas, with a salary range of $200,000 to $230,000. 

Grammarly, that writing-improvement service that bills itself as “the world’s leading AI writing assistance company,” is looking for a head of compliance and corporate legal, reporting into the general counsel. This is a hybrid job, where you’ll need to meet regularly at one of the company’s operating centers in San Francisco, New York, Vancouver, Berlin, or Kyiv. Salary range is $280,000 to $468,000 depending on location. Unclear whether you need excellent writing skills or could just use the product on the job.

Medline Industries is looking for a director of compliance for Latin America. Job can be based in either Panama or Mexico City. No salary range listed.

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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