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Asset and Wealth Management

  • Jessica Skinner, Chief Compliance Officer at Lockton Retirement Services becomes Chief Compliance Officer and Director of Operations at Dean Capital Management.
  • Joshua Pietersen, Asia Pacific Head of Business Compliance at Fidelity has left the organisation.
  • David Kowalski, Chief Compliance Officer at Janus Capital becomes Chief Risk Officer.
  • Neil Donnelly, Global Head of Compliance at Pioneer Investments joins M&G Investments as Chief Compliance Officer.
  • Nick Styman, Head of Global Compliance at TIAA Henderson Real Estate joins Neuberger Berman as Chief Compliance Officer, EMEA & LATAM.

Retail Financial Services

  • Jennifer Connelly, Head of Compliance & Conduct Assurance at Tesco Bank becomes Head of Compliance for UK and Ireland at Experian.
  • Gerard Hurley, former Compliance Manger at Funding Circle UK, steps into the role of UK Head of Compliance.
  • Shannon Stickland, Strategic Policy Lead at Williams & Glyn joins RSA as Group Financial Crime Officer.
  • Allan Reid, the former Head of Financial Crime at Williams & Glyn joins Sainsbury’s Bank as Head of Financial Crime.
  • Philip Doyle, Consultant at FICO joins Tandem Bank as Head of Financial Crime (MLRO)
  • Lisa Chitty, UK Compliance Officer at American Express joins Travelex as Head of Compliance and Risk.talent-map

Global Banking Groups

  • Jennifer Taylor, EMEA COO at Bank of America Merrill Lynch becomes EMEA Head of Compliance.
  • Frederick Reynolds, Global Head of FIU at Bank of America Merrill Lynch joins Barclays as Global Head of FIU.
  • Paul Tufaro, Global Head Corporate Compliance at Citi joins CIT as Chief Compliance Officer.
  • Richard Ziegenbalg, Global Head of Front Office Supervision at Barclays joins Citi as Global Head of ICG Surveillance.
  • Stephen Ditaranto, Global Head of Surveillance for ICG Compliance at Citi joins Deutsche Bank as Head of Global Surveillance Co-ordination.
  • Mark Shaffer, Director and Counsel: Regulatory Advisory, Enforcement, Investigations and Litigation at UniCredit joins Deutsche Bank as Director, GH of Compliance Policies and Communications.
  • Sarah Smith, Global Controller at Goldman Sachs becomes Chief Compliance Officer, replacing Alan Cohen who is retiring.
  • Felicia Rector became Head of Securities Compliance in the Americas for Goldman Sachs, a promotion from her previous position as Co-Head for Securities Compliance alongside Carmine Venezia and Kathleen Jack.
  • Tom Matthias, Deputy Global Head of Securities Division Compliance at Goldman Sachs has moved into the Investment Bank.
    Michael Broadbery Head of Securities Division Compliance for Asia Pacific at Goldman Sachs has relocated from Hong Kong to London with the bank, becoming Head of Securities Division Compliance.
  • Lou Rauchenberger, Chief Compliance Officer at JPMorgan is being replaced by Frank Pearn, CAO Compliance.
  • Jinny Lam, PWM Operations at Goldman Sachs joins UBP as APAC Head of KYC and Client Onboarding.
  • Doug Seefus, Chief Compliance Officer for Retirement at Wells Fargo takes on a broader role as the Director of Wealth and Investment Management Regulatory Affairs.

Regulators

  • Brad Bennett, Head of Enforcement at FINRA is leaving the organisation. A search has begun for his successor.
  • Melissa Hodgman, Assistant Director at SEC becomes Associate Director within SEC Enforcement Division.

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