Search results for: ofac
Cooperation Policy for Sanctions Violations
Compliance officers have a new cooperation credit policy from the Justice Department to consider, this one addressing sanctions and export control issues. It differs just enough from other cooperation policies we’ve seen from the Trump Administration that compliance officers need to give this one more attention. The policy was announced last Friday by David Burns,…
Read MoreCompliance Jobs Report: Aug. 30
Our last Compliance Jobs Report of the summer has news from Walmart (several personnel moves there), Deutsche Bank, Newmont Goldcorp and elsewhere, plus a few work anniversaries and a few job openings. Our Meme of the Week goes out to workers everywhere. I gather these bits of information from LinkedIn, news alerts, and friends emailing…
Read MoreRandom Compliance on My Mind…
Random thoughts about compliance, audit, and risk management to keep you entertained while I’m away on vacation this week… The OFAC framework for sanctions compliance is an outstanding document. I understand that implementing its recommendations may be a pain in the neck, but it packs a tremendous amount of information into 12 pages. Line for…
Read MoreInsights From Navex Benchmarking Report
Navex Global has published its latest annual ethics & compliance benchmarking report, a deep dive into all sorts of activities and priorities among corporate compliance programs. It’s a great document to help compliance officers place their own issues in larger context, so let’s take a look at what Navex had to say. Typically Navex publishes…
Read MoreCompliance Jobs Report: Dec. 21
The Compliance Jobs Report this week has personnel moves at AIG, Deutsche Bank, Schlumberger, and several other companies. The SEC is losing a great mid-level official, EFG Bank lost its head of investigations, and a fintech firm under scrutiny is (shocker) looking for regulatory counsel. Our Meme of the Week goes out to all you…
Read MoreCompliance Jobs Report: Sept. 21
The Compliance Jobs Report this week starts with new regulator appointments at Treasury; Walmart re-assigning a few ethics & compliance folks; Medtronic losing its ethics and compliance lead for Far East; a wave of GRC vendor news; and a CCO job opening with plenty of boom to it. Our meme of the week goes out…
Read MoreCompliance Jobs Report: July 28
A busy week for the Compliance Jobs Report, even in the July vacation season! The head of compliance at Snap has received a field promotion to general counsel; and the chief compliance officer at DaVita Healthcare may be heading to the Justice Department. We also have news from AB InBev, Uber, CHS, Pfizer, and more.…
Read MoreCompliance Officers on the Move: Feb. 24
This week’s compliance jobs report has a few bits of news about planning for regulatory reform: who on Team Trump might help plan it, and how the banking world is staffing up to respond to it. GRC software vendors were also busy this week, and Viacom is hiring for possibly the most interesting compliance job…
Read MoreAmazon.com Launching New ERM Effort
Spotted on the Internet this weekend: Amazon.com is looking for a program manager to join a newly formed enterprise risk management team—which means, of course, that Amazon has a newly formed ERM team. That’s news to me. The job description says Amazon wants to create a new, centralized ERM function that acts as an adviser…
Read MoreRegulatory Agencies
Regulatory Agencies This page lists various regulatory agencies (and useful pages therein) that strike me as ones that compliance and audit executives should bookmark. If you have any suggestions, please email me at mkelly@radicalcompliance.com. Financial Reporting Regulators SEC Division of Corporation Finance SEC Division of Corporation Finance: Comment Letters SEC Division of Enforcement SEC Division of Enforcement:…
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