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Showing 11 - 20 of 82 results for "Compliance officer"

MSC appoints operating chief

ELIZABETH FRY  |  THURSDAY, 27 MAR 2025
... chief. Credited with bringing commerciality to the risk side of the business, Brown has served as both the chief compliance officer and chief risk officer, covering regulatory responsibilities for the group's trustee, custody and fund administration ...

TWC Invest makes risk, technology hires

MATTHEW WAI  |  MONDAY, 17 MAR 2025
TWC Invest has announced the appointments of a chief risk and compliance officer and a chief technology officer. TWC Invest said the appointees will support the firm's "differentiated lifecycle investment approach." Stephen Thompson has taken on ...

Magellan unveils refreshed leadership, investment team

JAMIE WILLIAMSON  |  THURSDAY, 30 JAN 2025
... gained across roles with Janus Henderson, Macquarie and KPMG. She replaces Marcia Venegas who was chief risk and compliance officer and resigned in November 2024. Meantime, the head of UK and EMEA distribution role has gone to Simon Barrett, who joins ...

Bell Financial Group bids $51m for SelfWealth

KARREN VERGARA  |  WEDNESDAY, 13 NOV 2024
... January 2025. She spent more than 10 years at Paradice Investment Management as chief operating officer and chief compliance officer based in Colorado. BAM chief executive Michael Lovett said Hill's new role is designed to bolster strategic growth ...

Cbus recruits chief risk officer from Crown

KARREN VERGARA  |  TUESDAY, 18 JUN 2024
... major banks working in senior roles across risk and compliance functions. Georgiou was previously the chief compliance officer for conduct and regulatory relationships at Westpac and before that looked after the consumer bank's risk functions. She worked ...

Credit Suisse fined $575m by regulators

CASSANDRA BALDINI  |  TUESDAY, 25 JUL 2023
... members following the hit, including former investment bank chief executive Brian Chin and former chief risk and compliance officer Lara Warner. Last October, Credit Suisse restructured and cut thousands of jobs, including former chief executive of the ...

NGS Super continues leadership shake-up

ANDREW MCKEAN  |  WEDNESDAY, 12 JUL 2023
... chief executive's role in driving growth initiatives. Meanwhile, Minney joins NGS following stints as chief compliance officer at Allianz and having held other compliance roles at Insurance Australia Group. She has also served as chief risk officer ...

SEC sues Binance, chief executive

JAMIE WILLIAMSON  |  TUESDAY, 6 JUN 2023
... support of these allegations, evidence presented in the SEC's filing includes a message from Binance's chief compliance officer to a colleague in December 2018 that reads: "We are operating as a fking unlicensed securities exchange in the USA bro." The ...

US regulator sues crypto giant, chief executive

CASSANDRA BALDINI  |  TUESDAY, 28 MAR 2023
... Court against Zhao and three entities that operate Binance. The complaint also includes Binance former chief compliance officer Samuel Lim for aiding and abetting the crypto exchange. "For years, Binance knew they were violating CFTC rules, working actively ...

First Sentier hires chief risk officer

CASSANDRA BALDINI  |  MONDAY, 9 JAN 2023
... six years at Aegon Asset Management (Aegon). Most recently at Aegon she held the role global chief risk and compliance officer and was responsible for leading a team of 85 across Europe, Asia and the US while overseeing portfolio risk management, enterprise ...