Compliance Jobs Report: May 27

compliance jobs

The Compliance Jobs Report goes global this week, with personnel updates in India, Spain, Peru, France, Canada, Switzerland, and even a few here in the United States. We also have several compliance officers leaving corporate jobs for consulting, plus the most bizarre internal audit job listing I’ve ever seen.   As always, thank you to all…

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Compliance Jobs Report: May 20

Compliance jobs

Plenty of news in the Compliance Jobs Report this week! We have personnel items from Carnival Cruises, OnlyFans (yes, you read that right), Wells Fargo, COSO, and lots more. Also a bundle of work anniversaries to note; plus job leads in finance, medical devices, and satellite TV. Our Meme of the Week goes out to…

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Comments on SEC Cyber Proposal

lawyers

We continue our focus on cybersecurity compliance today with a return to the SEC’s proposals for expanded disclosure of cybersecurity risk in corporate reports. The public comment period for those proposals closed last week, and compliance officers have a bundle of interesting points to ponder. The SEC received dozens of comments, and to no surprise…

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Report: Cyber Compliance Still Struggling

cyber

Another week, another report capturing the strains and dysfunction in cybersecurity risk management. This time, we have a survey of IT security and compliance professionals who still struggle to move beyond planning phases and are burdened with duplicative audits and a flood of customer documentation requests.  The report comes from A-LIGN, which sells software to…

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Compliance Jobs Report: May 13

compliance jobs

Another big Compliance Jobs Report! We have a new CCO at Citigroup, a departing compliance chief at Salesforce, a new internal audit boss at Goldman Sachs, and other moves at Danske Bank, Airbus, Cummins, and lots more. Job leads this week in webinars, banking, and brain science; plus our Meme of the Week! As always,…

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Moderna CFO Fired After First Day

Moderna

Wild news in the Covid-19 world today: Vaccine maker Moderna has fired its new CFO one day into the job, after the executive’s previous employer disclosed in an SEC filing that it had launched an investigation into fraudulent financial reporting.  Moderna disclosed the departure of Jorge Gomez in a terse press release issued Wednesday morning.…

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SEC Launches Crypto Push

crypto

The Securities and Exchange Commission made three notable enforcement moves in the cryptocurrency world last week, clearly sending a signal to this Wild West part of the capital markets that the SEC wants to bring some law and order to town. First, the agency announced that it is adding 20 enforcement agents to its cyber…

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Compliance Jobs Report: May 6

compliance jobs

Another week, another big Compliance Jobs Report. We have compliance officers coming or going at AB InBev, TikTok, Deutsche Bank, and others; also a bevy of promotions at American Express, Cardinal Health, LyondellBasell, and many more. Job leads this week are up and down the East Coast in biotech, insurance, and power equipment; and our…

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JPMorgan Replies on Retaliation Claim

JPMorgan

We have an update on that lawsuit filed last year by a former compliance officer at JP Morgan, who says she was fired for raising concerns about weaknesses in the bank’s compliance program. JPMorgan has now filed a motion to dismiss, and depicts the former compliance officer as a terrible employee who was fired for…

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An Update on Diversity Programs

diversity

The Securities and Exchange Commission has published an analysis of diversity and inclusion programs at broker-dealers, investment advisers, and other financial firms, providing yet another reference point for other businesses about how you might structure your own D&I efforts and what regulators would like to see from them. The report was released Monday by the…

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