Compliance Jobs Report: Dec. 3

compliance jobs

Our post-Thanksgiving Compliance Jobs Report has updates from Danske Banke and Getinge, a few audit executive hires in higher education, news from GSK and the World Economic Forum, and more! Plus some work anniversaries to note; job openings in auctions, teeth, and more teeth; and our Meme of the Week! As always, thank you to…

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More on Senior-Level Compliance Jobs

job market

Last week I had a post exploring whether senior-level compliance jobs are becoming harder to land, and some possible reasons why that might be. The post led to numerous compliance officers sending me some of their own observations; with their permission (and some confidential details scrubbed out), let’s dig a bit deeper into what’s going…

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SEC Springs Warning on Option Grants

stock option

The Securities and Exchange Commission is warning companies to do better at estimating and reporting the value of “spring-loaded” stock option grants they give to executives, possibly as a prelude to future enforcement actions against companies that continue to ignore the tricky accounting challenges involved here.  Spring-loaded stock option grants are equity awards that companies…

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Paper Raises Red Flag on SPACs Governance

SPACs

A new research paper raises disturbing questions about the corporate governance of special purpose acquisition companies (SPACs), and just in time, too — because another, separate bit of research finds that so many SPACs are hitting Wall Street these days that they are single-handedly propping up the number of quarterly filings to the SEC.  Let’s…

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CFPB Warns on ‘Revolving Door’ Misconduct

cfpb

Some interesting news for any compliance professionals who recently worked at the Consumer Financial Protection Bureau: the agency’s new director is warning current employees to be more cautious about talking with former employees and to watch for “revolving door misconduct.”  The message came from Rohit Chopra, the CFPB’s decidedly enforcement-minded director, who took office last…

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Dispatches From the Job Hunt

job market

Two compliance friends, both quite accomplished in their careers, recently contacted me to ask essentially the same question. In today’s job market supposedly so plagued with labor shortages, why does hiring for upper-level compliance jobs feel so slow and difficult?  I’ve done no rigorous study to confirm that the experience of my two friends reflects…

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More SEC Talk on Cyber, Internal Control

ITGCs

Before this particular bit of news sails downstream, internal control professionals might want to note that an SEC commissioner spoke this week about the importance of internal controls for cybersecurity. She raised a few points worth considering. The remarks came from Caroline Crenshaw, a Democratic appointee to the Securities and Exchange Commission who, in my…

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Compliance Jobs Report: Nov. 19

compliance jobs

The Compliance Jobs Report this week has compliance officers coming or going at Whirlpool, Santander, Zoll Medical, several universities, Citigroup, and elsewhere. Job leads this week in private investing, financial services, and food; and our Meme of the Week goes out to musical CEOs. As always, thank you to all the compliance people sending me…

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Podcast: Building a Compliance Function

Today we have another Radical Compliance podcast, this time on the practical challenges of building out a global compliance program. I sat down with Charles Paré, chief compliance officer at CEVA Logistics, who has been doing just that since he started working for CEVA eight months ago. You can hear the full podcast at the…

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That Lawsuit Against J.P.Morgan

J.P.Morgan

As you might have already heard (because compliance is such a gossipy profession), last week a former compliance officer for J.P.Morgan filed a lawsuit against the bank, accusing executives there of retaliating against her because she was raising concerns about failures and weaknesses in the compliance program.  I spent the weekend reading the complaint, which…

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