The chief compliance officer and the chief operating officer for Westpark were suspended and fined as well.
Noa was appointed chief compliance officer of Siemens on January 1, after allegations of bribery and corruption became a full-on corporate scandal in 2006.
First, make sure you've been reimbursed for all your out-of-pocket medical costs, says Jody Dietel, chief compliance officer for WageWorks, a provider of FSAs.
Steven Kessler, chief compliance officer of hedge fund SAC Capital Advisers, was lauded for his work in advancing the industry's interests in prime brokerage and securities-lending issues.
In one example of the changes, News Corp. in August named its general counsel, Gerson Zweifach, as its chief compliance officer, a position mandated in the settlement.
The simplest way to keep your accounts active is to vote your proxies, says Debbie Zumoff, chief compliance officer at Keane, a New York-headquartered unclaimed property consultancy.
Hassan created a new position, chief compliance officer, to end unethical or illegal practices and asked Brent Saunders, then at PricewaterhouseCoopers, to take the job, reporting directly to him.
Top Tier Capital Partners, a fund of funds, has named Sean Warren as chief compliance officer in a sign of the response of private equity to increasing regulation of the industry.
FORBES: Top Tier Capital Names Sean Warren Chief Compliance Officer
The company was keen to highlight that it has strengthened its internal compliance rules in the last five years, including the creation of a new chief compliance officer role in 2010.
Companies that register with FinCEN as money transmitters must hire a chief compliance officer, implement an anti-money-laundering program and alert authorities if they believe a transaction might be tied to suspicious activity.
The former chief compliance officer of Bernard L. Madoff Investment Securities was in court in Manhattan today and pleaded guilty to one count of conspiracy to commit securities fraud and one count of falsifying records.
FORBES: Peter Madoff Pleads Guilty But Says He Knew Nothing About A Ponzi Scheme
They argued that Peter Madoff, formerly chief compliance officer and senior managing director at his brother's firm, helped to create false and misleading documents to make it seem as though the company had an effective compliance programme.
So should a Chief Compliance Officer.
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In his sentencing memorandum he said that even though he was the Chief Compliance Officer of Madoff Securities and held other positions for decades, he was swindled by his elder brother, having no idea that he was sitting on top of a Ponzi scheme.
FORBES: Peter Madoff Gets What He Expected - 10 Years Prison
Nester said the SEC has taken additional steps to enhance protections against "the potential for improper conduct, " including developing a new computer system to facilitate reporting and review of securities trading by all SEC personnel, hiring a chief compliance officer and providing greater clarity of rules governing the reporting of trades.
Their Form 990 shows that they have a chief financial officer, a chief of corporate compliance officer, a director of financial compliance, a director of litigation and a controller.
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But a chief risk officer is impotent if he is nothing more than a glorified compliance chief, as is still the case at many banks.
ECONOMIST: How banks can improve their approach to risk management
Paskoff is president and chief executive officer of Atlanta-based ELI, which provides harassment, discrimination, ethics and wage and hour compliance learning solutions.
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