This report highlights key global Compliance appointments within Asset and Wealth Management, Global Banking Groups, Insurance, Retail Financial Services & Payments and Non-FS sectors.

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Asset and Wealth Management

EMEA:

  • Nicholas Weeks joins Cannaccord Genuity Wealth Management as Head of Compliance Monitoring from Aberdeen Asset Management where he was within the internal audit team.
  • Monica Comyns joins Dalton Strategic Partnership as Chief Compliance Officer from Bain Capital where she was the Head of European Compliance.
  • Andrew Bradley, Global Head of Financial Crime Compliance at Credit Suisse has joined Fidelity International as a Director within their UK MLRO Office.
  • Dave Fitzharris joins Hermes Investment Management as Head of Advisory Compliance from BlackRock where he was the Head of Compliance Advisory for the Institutional business.
  • Gerard Green joins Invesco as Head of Anti-Money Laundering for the EMEA region, from Franklin Templeton Investments where he was the Head of AML for EMEA.
  • John Dodds joins Julius Baer International as Head of Compliance for UK and Ireland from Rothschild Wealth management where he was Compliance Director.
  • Paul Martin joins LGT Vestra LLP as Head of Legal, Compliance and Risk from Quilter Cheviot where he was the Head of Risk and Compliance.
  • Antonia Siddle joins M&G Investments as Director of Regulatory Liaison from HSBC Retail banking and Wealth Management where she was a Business Support Manager.
  • James O’Connor joins Nordea Asset Management as Global Head of Asset Management Compliance from Banque Lombard Odier where he was the Head of Compliance.
  • Ramsay Nafa joins TIAA Henderson Real Estate as Head of Compliance for Europe and APAC from UBS where he was Head of Compliance and Operational Risk Control for the UK.
  • Sophie Dupre-Echeverria joins UBS Asset Management as Head of Compliance and Operational Risk Control for EMEA from Barings where she was the Global Head of Organisational Risk.

APAC:

  • Iain Felstead joins Eastspring Investments as Head of Regional Operational Risk from Prudential Assurance as Operational Risk Senior Manager.
  • Wing Tam was appointed Senior Director, Global Operations, APAC & EMEA at Janus Capital Group. He was previously their Director, Global Operations, APAC.

Global Banking Groups

EMEA:

  • Martin Harrison joins BAML as EMEA Head of Equities Compliance from HSBC where he was EMEA Head of Markets Compliance.
  • Daniel Kane joins BNP Paribas as UK Head of Financial Crime from Credit Suisse where he was Global Head of AML, Policies and Surveillance.
  • Stephen Foster joins BNP Paribas as Deputy MLRO from Lloyds Banking Group where he was Head of Sanctions and Anti-Bribery and Corruption.
  • Mark Anderson, UK Head of Financial Crime for the Investment Bank at Credit Suisse has left the firm.
  • Peter Hazlewood has left Deutsche Bank where he was the Head of Anti Financial Crime.
  • Robert Mass, Global Head of Securities Compliance at Goldman Sachs, is moving internally to be Global Head of Conduct.
  • Mark Clayden, has left HSBC where he was their Global Head of Banking Compliance. Global Head of Research Compliance Emma Pegler has taken on his role whilst retaining responsibility for research.
  • Liz Hoskins joins RBS from Wells Fargo where she was their EMEA Head of Financial Crime.

Americas:

  • Kevin Bailey joins Citigroup as head of a newly established global regulatory affairs team based out of Washington. He joins from GE Capital where he was Head of Enterprise Risk and Resolution Planning.
  • Mark Carawan has been appointed Chief Compliance Officer at Citigroup. He was previously the company’s Chief Internal Auditor. He replaces John Davidson who joins The Options Clearing Corporation as COO, replacing Mike McClain.
  • Sarah Smith, Global Controller at Goldman Sachs is appointed Chief Compliance Officer, replacing Alan Cohen who is retiring.
  • Raul Yanes is appointed Chief Compliance Officer at Morgan Stanley, replacing William Fenrich, who is joining AQR Capital Management as CLO. Yanes joins from Davis Polk & Wardwell’s Washington DC office, where he was a Partner and Head of White Collar Criminal Defense and Government Investigations Group.
  • William Langford joins MUFG as Americas Chief Compliance Officer. He joins from GE Capital where he was Chief Compliance Officer.

APAC:

  • Peter Monaci joins Credit Suisse as APAC Chief Compliance Officer. He joins JPMorgan where he held the same role. He is replacing Mark Hart who is leaving the bank.
  • Joshua Pieterse joins Credit Suisse as APAC Head of Compliance Assurance. He was previously Head of Business Compliance for Asia at Fidelity International.
  • Moon Wang joins DBS as Head of Financial Crimes and Security Services. He joins from Morgan Stanley where he was APAC Head of Financial Crimes for the Institutional Securities Group & Investment Management Coverage.
  • Richard Moore leaves DBS as Managing Director and Head of Financial Crime and CISO. He is replaced by Chris Wilson who joins from PwC, where he was a Forensic Services Partner.

Insurance

EMEA:

  • Martin Cornhouse, Head of Compliance for AIG’s UK and East Zone regions is promoted to EMEA Deputy Chief Compliance Officer.
  • Graham Luckett joins AmTrust Financial Services as its Chief Compliance Officer from ANV where he was the Group Chief Compliance Officer.
  • Andrew Gray, Head of UK Compliance at XL Catlin joins Apollo Syndicate Management as Head of Compliance.
  • Jose Valdivielso, Regional Head of Risk and Compliance, Latin America at JLT Group joins Arthur J. Gallagher International as Head of Risk and Compliance for the overseas division.
  • Helen Hilditch, Financial Crime Governance Officer at GE Capital has joined Aviva as their Head of Financial Crime Compliance Oversight for Europe and Canada.
  • Chris Coles joins Aviva as Head of Financial Crime for UK Life. He joins from the Phoenix Group where he was Head of Financial Crime and Group MLRO.
  • Richard Copping, Head of UKGI Compliance at Zurich Insurance joins Chubb as Head of Compliance.
  • Steve Harris is appointed Chief Compliance Officer at Lincoln Financial. He joins from The Hartford Group where he was in the same role.
  • Susan Clay joins Swiss Re as Chief Compliance Officer from Aon UK where she was CRO.

APAC:

  • Niall Grady joins Prudential as Chief Compliance Officer, Asia. He joined from Eastspring Investments where he was Head Office Risk and CRO Eastspring Investments (Singapore).
  • Petra Märkl has been appointed Head of Group Legal M&A at Allianz SE. She was previously Regional Head of Legal and Compliance, Asia Pacific at the company. Märkl is relocating from Singapore to Munich.
  • Annie Tay has left her role within AXA where she was the Asia CRO.
  • Robert Sherlock is appointed as Chief Risk Officer for Asia at AXA. He was previously Senior Expertise Risk Manager at the firm.
  • Jo Fox joins Chubb in Asia Pacific as Chief Risk and Compliance Officer for Australia and New Zealand. Fox was previously VP for, Legal and Compliance, Global Markets at Allied World.
  • Markose Thomas joins FWD Singapore as Head of Risk and Compliance, having previously been the Head of Compliance and Risk Management at Munich Re Singapore.
  • Sandeep Gopal joins Swiss Re Corporate Solutions as Director and Asia Pacific CRO, having previously held the role of Head of Risk, Asia Pacific at Allied World.

Retail Financial Services & Payments

EMEA:

  • Richard Nettleingham joins Amicus Finance as Group Compliance Manager. He previously held the role of Head of Compliance and Conduct Risk at Shawbrook Bank.
  • Cliff Lambeth joins Cofunds as Senior Governance and Controls Manager. He was previously Head of Compliance and Conduct Risk at OneSavings Bank.
  • Stewart Pritchard becomes Head of Conduct Risk Framework at Paragon Group. He was previously Interim Head of Compliance and Conduct at the company.
  • Lawrence Potter joins Starling Bank as Head of Compliance and MLRO. He was previously Head of Conduct and Compliance Assurance and Risk Reporting at Direct Line Group.
  • Jeremy Fraser joins Tesco Bank as Compliance Director. He was previously Head of Legal Services at Sainsbury’s Bank.
  • Stefaan D’Hoore joins Visa as Chief Risk and Compliance Officer for Europe. He was previously Chief Operating Officer for Risk Management at GE Capital.
  • Philip Doyle joins ClearBank as Head of Financial Crime from Tandem Bank where he was their Head of Financial Crime & MLRO.

APAC:

  • Scott Vincent joins National Australia Bank as Senior Manager for Financial Crime Risk. Vincent was previously with MUGF as APAC Head of Financial Crime Risk.
  • Damian Buckley is promoted to Head of Project SAIL Country Implementation for Singapore at Standard Chartered, from his previous role as Country Implementation Manager for Financial Crime Compliance.

Non-FS

EMEA:

  • Christine Hohmann-Dennhardt has left Volkswagen where she was Head of Compliance.

Americas:

  • Hal Crawford, the former Chief Compliance Officer at BBH and current consultant at K2, joins Alvarez & Marsal.

APAC:

  • Seng Hong Wee joins Ant Financial as Head of Compliance, Internal Business. He joined from Standard Chartered Bank as Head of Compliance, Singapore.

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