compliance jobs

The Compliance Jobs Report this week starts with a wave of notable retirements, but fear not, we also have hires and promotions at Knock, State Street, the IMF, the Commerce Department, and lots more. A few work anniversaries to note, and job openings in emergency services, cybersecurity, and booze. Our Meme of the Week goes…

Read More
SPACs

The Securities & Exchange Commission is stepping up its warnings about special purpose acquisition companies, with a new statement today walking through the internal control and governance concerns that SPACs and the private businesses they acquire are obligated to meet.  SPACs, also known as blank-check companies, are all the rage on the capital markets these…

Read More
penny stocks

Broker-dealer firms have another warning from the SEC to do better with AML compliance and suspicious activity reporting, and particularly to do better with customers’ trading in penny stocks and acting on known red flags with that type of transaction. The message came from the SEC’s Division of Examinations, which published its latest risk alert…

Read More

For several days now I’ve wanted to discuss risk management and compliance lessons we could learn from that cargo container ship trapped in the Suez Canal, but I was stuck on exactly what to say about it.  My thoughts finally dislodged (that’s the last pun, I promise) after reading a superb analysis in the Financial…

Read More
compliance jobs

The Compliance Jobs Report has some big names this week: Tesla, Fox, FirstEnergy Corp., Novartis, and more. We have yet another merger in the vendor world, an ex-compliance officer not going to jail after all, and our Meme of the Week goes out to the Suez Canal.  As always, thank you to all the compliance…

Read More
audit

We have two new reports this week on the predicament of internal audit functions, trapped between the need to provide better risk analysis during the pandemic and corporate overlords a bit less than willing to fund your need for better technologies. The first report came from research firm Gartner on Wednesday, and found that for…

Read More

Gorgeous spring weather finally arrived in Boston this weekend, so like any sensible compliance enthusiast I spent that time indoors reading the 2021 PwC Global CEO Survey. We have some findings about digital transformation of business processes and risk management to discuss.  For those unfamiliar with the PwC Global CEO survey, it’s an annual report…

Read More
compliance jobs

The Compliance Jobs Report this week has numerous folks departing HSBC; plus new hires at CEVA Logistics, Assurity, Homepoint, and elsewhere. We have one very unfortunate milestone for an ex-compliance officer under indictment; job leads from California to New Jersey; and a peek at who’s the money behind all those GRC software deals. As always,…

Read More
ethics

Today I want to return to the 2021 Global Business Ethics Survey, released last week by the Ethics & Compliance Initiative. There’s another theme in the data that we should explore, since it has significant implications for your compliance program’s risk assessment, training, and policies.  That theme: managers are more pessimistic about compliance and ethics…

Read More
ofac

An Ohio business that manufactures pressure controls, switches, and sensors is our latest example of trade sanctions compliance gone wrong, and the steps a company should take to act on red flags before the business gets hauled in front of regulators.  The business, Cleveland-based UniControl, agreed Monday to pay $216,000 in penalties to the U.S.…

Read More