Movers and Shakers - July 2018 - new!

September 2018


Stephan Wilken has been announced as the new Global Head of Anti-Financial Crime   and Group Anti-Money Laundering Officer at Deutsche Bank. He has been with the bank for over twenty years and is moving internally from the Risk function and will be based in Frankfurt.

Asia Pacific

Nathalie Hall has joined Commonwealth Bank of Australia in Sydney as a General Manager in Financial Crime Compliance. She moves from JP Morgan in Hong Kong.

James Walker, currently the Head of Australia Compliance at Credit Suisse is moving to Hong Kong to be the new Head of APAC Markets Compliance,

Tim Woodward has joined BNP Paribas as a Managing Director in Compliance, he leaves JP Morgana and he will be based in Hong Kong.

Devaki Nathan has joined Bank of America Merrill Lynch in Singapore as a Director in Compliance, she was previously with TD securities.

Olivia Burgess has joined the compliance team at Citibank in Hong Kong, she joins from Commerzbank.

Daniel De La Garza, Chief Ethics and Compliance Officer for Walmart in Central America, will move over to the same job with recent Walmart acquisition Flipkart Group, an online retailer in India.

Also moving to Flipkart is Grant Coad, formerly Head of Regulatory Compliance for Walmart Canada, who will become Flipkart’s General Counsel.

Stephanie Chew has a new job as Senior Director of Global Ethics & Compliance for Japan and Asia-Pacific at Edwards Lifesciences, based in Shanghai. Chew leaves Medtronic, where she was Head of Ethics & Compliance and Industry Relations.



Barclays has hired Stefano Toffolo from Credit Suisse as a Managing Director and Head of the Chief Control Office.

Brett Hames has joined Exiger in London as a Managing Director, he joins from Deutsche Bank.


Coinbase has made yet another addition to its C-suite. The cryptocurrency trading platform has hired Brian Brooks, the former Executive Vice President, General Counsel and Corporate Secretary of Fannie Mae, as its Chief Legal Officer.

Elizabeth King, General Counsel of the New York Stock Exchange, will add to her role that of the Intercontinental Exchange (ICE) Chief Regulatory Officer, overseeing the firms global regulatory and legal affairs initiatives.


August 2018


Dr Klaus Moosmayer is the new Chief Ethics, Risk & Compliance Officer for Novartis. Dr Klaus joins from Siemens where he was the Chief Compliance Officer.

Daniel Trinder has joined Barclays in London as a Managing Director in Compliance, he joins from Standard Chartered where he was the Global Head of Regulatory Reform.


Benedicte Nolens has joined Circle as the APAC Chief Compliance Officer, as well as taking a leading role in global regulatory affairs.

Steve Tarrant has joined Société Générale as the APAC Head of Financial Crime. He was previously the APAC Head of AML for HSBC.

Andrew Chey has left Société Générale to join Rabobank as the Regional Head of Compliance, Asia.

Thomas Wong has joined the Hong Kong Jockey Club as Head of Security for their newly opened Conghua Training Centre. He joins from the Hong Kong Police Force


Lisa Osofsky has been appointed as Head of the Serious Fraud Office in the UK.  She joins from Exiger, the regulatory consulting firm that held the monitorship for HSBC.

Guy Harrison has joined Dow Jones Risk & Compliance as the new General Manager. He joins from IHS Markit.

Jenny Latham has been appointed Head of Investigations & Intelligence Analytics at Barclays. The role sits in their Financial Crime Analytics & Data Science team.

Tony O’Hear is promoted to Head of Financial Crime Assurance at RBS. Tony is based in Edinburgh.

Michelle Vick joins TSB Bank as a Director in the Financial Crime division. Michelle joins from RBS and will be based in Edinburgh.

Fearghas Magennis joins Morgan Stanley from Shell. He will take up a Director role in the Global Financial Crime team in Glasgow.

Angela Cummings is the new Head of Fraud and AML at the Co-operative Bank. She joins from Aldermore Bank and will be based in Chester.



The US Commerce Department has named former US Attorney Roscoe Howard as the Monitor for ZTE Corporation. Howard is currently a partner at law firm Barnes & Thornberg.


July 2018


Scott Schools has been announced as the new Chief Compliance Officer at Uber. Schools previously worked at the US department of Justice as a top aide to Deputy Attorney General Rod Rosenstein.

Philipe Vollot has been announced as the new Global Head of Compliance at Danske Bank. He moves from Deutsche Bank where he was Global Head of Anti-Financial Crime based in Frankfurt.



Leeann Morentz has been promoted to APAC Regional Financial Crimes Head at Wells  Fargo, she moves internally and will be based in Hong Kong.

Chris Davies has joined MUFG as a Managing Director and Head of Regulatory Compliance, APAC. He joined from Rabobank where he was the Hong Kong Head of Compliance.

Andrew Yee is the new Head of Compliance at Yue Xiu Securities Holdings, he joins from 8 Securities and will be based in Hong Kong.

Pinky Leung has joined UBS as an Associate Director in compliance based in Hong Kong. She joins from Credit Suisse.

Raymond Lam has joined the AML team at ICBCI. He joins from Bank of China International and will be based in Hong Kong.

Nick Cheung has joined Union Bancaire Privée as a Compliance officer based in Hong Kong. He joins from PWC.

Kim Chen has joined Morgan Stanley in Hong Kong within equities compliance, he was previously with Bloomberg.

Michael Chan has joined Alpadis Group in Hong Kong as a Compliance Manager. He joins from Walkers .

Jodi Andersen has left Morgan Stanley to join Société Générale as a Vice President in Culture & Conduct Risk.



Tigran Ter-Martirosyan has joined BRG as Director in their Disputes practice, he joins from Kairos Consulting where he was a Managing Director.

Maxine Pitchford has joined the FCA as an AML Specialist, in Enforcement and Market Oversight. Maxine was previously Head of Financial Crime Policy and Advisory (Deputy MLRO) at Metro Bank. 

 Irma Gonzalez has been promoted to EMEA Head of Macro Trading & Sales Compliance at JP Morgan. Irma is promoted from the Market Reform compliance team.



Tether, a blockchain startup in the British Virgin Islands that tokenises traditional currency has named Leonardo Real as Chief Compliance Officer. Real previously was an AML Quality Control Manager for Bank of Montreal.

J.D. (John) DiThomas has joined Boston-based crypto finance firm Circle as Lead Compliance Manager for payments. DiThomas previously was a Compliance Director for Santander US for two years.

Jeff Horowitz has joined Coinbase as Chief Compliance Officer. Jeff was previously Chief Compliance Officer for Pershing LLP.


June 2018


Jenny Fung has joined SMBC as Chief Compliance Officer for Asia Pacific from ABN Amro, she will be based in Hong Kong.

Michelle Yu has left Morgan Stanley to join DFS Group as a VP in Legal & Compliance.

Josephine Lee is joining UBS in Hong Kong as Head of Equities Compliance, she is joining from Citibank.

Heidi Hutchison has joined Facebook in Singapore as a Business Integrity Manager, she moves from HSBC in Hong Kong where she worked in their Financial Crime Intelligence Unit.

Connie Woo has joined Prudential as a Senior Compliance Manager from Sun Life in Hong Kong.

Beaver Chua has left HSBC in Singapore to join OCBC Bank as the Head of Group Policy Governance, AML and CFT.



Simon Henry has joined Slater Global Markets as their Head of Compliance in London, he joins from

Mirko Gastaldello has joined Banco Santander as Head of Compliance and Financial Crime. Mira joins from Rabobank where she was Regulatory Advisor.

Philip Hanssens becomes European Chief Compliance Officer at Fidelity. Philip was previously Head of Compliance & Deputy General Counsel (UK) at GAM investments.

Natalie Baylis has joined GAM investments as their Group Head of Compliance.  Natalie was previously Group Counsel at the FCA.

Dan Hodge has been appointed Chief Compliance Officer, Barclays International. Dan was previously the Barclays Group Treasurer.

Lesley Richardson is now the Group Head of Compliance and Conduct at RBS. This sees her relinquish her Risk responsibilities for those within Compliance.



Alan Halfenger has joined Optima Parters Regulatory Consulting in New York as a Partner. He was previously a Partner at ACA Compliance Group.

Howard Plotkin, the US Chief Compliance Officer at Royal Bank of Canada has left the bank, a search is underway for his replacement.


May 2018


Daniel Johnson is the new Head of Compliance, International at Barclays Bank. He moves internally from his role in Group Corporate Treasury.



Chris Wilson and Moon Wang have both recently left DBS where they were the Global Head of Financial Crime Prevention and Head of Financial Crimes & Security Services.

Katryna Murtagh has been announced as the new Head of Legal and Compliance at BC Technology Group. She returns to the region from London where she was with JP Morgan for just short of 3 years.

Hong Hui Wong has moved to New York from EY in Hong Kong to be the Chief Compliance Officer and Executive Vice President at Agricultural Bank of China, New York

Moray Taylor-Smith has left Standard Chartered in Hong Kong and is joining  HSBC in their Financial Crime Threat Mitigation Team.

Allen Trainer has left Deutsche Bank in Hong Kong and is moving to Sydney to join Westpac as their Head of Monitoring & Surveillance.

Kingswood Poon has joined BFAM Partners as a Senior Lead Compliance Officer. He moved from Manulife Asset Management where he was Head of Global Derivatives Compliance.



Oliver Geffroy has moved to Dublin with Bank of America Merrill Lynch to be their new Head of EU Compliance.

Donatella Seidner has moved to Mashreq Bank in Dubai as their new Head of Compliance. She has previously held positions with Bank of America and HSBC in the region.

Richard Baron has joined COFCO International in Geneva as their new Global Head of Compliance, he joins from Koch.

Andrew Garnett has joined Royal London Asset Management in London as their new Head of Compliance. He joins from Swiss Re.

Mark Steuer has joined Citi in London as a Director. He was previously Head of Surveillance for EMEA with JP Morgan.



Genesis Mining has named Shah Hafizi Chief Compliance Officer and Americas General Counsel. Hafizi previously worked as Chief Compliance Officer at BlackRock.


April 2018


Una Neary is the new Global Head of Compliance at BlackRock. She joins from Goldman Sachs, where she was a Partner, and will be based in New York.

Laura Padovani has become the new Global Chief Compliance Officer at Barclays. She will be based in London and has been promoted from within their existing compliance function. She replaces Mike Roemer, who joined Wells Fargo late last year.



Raj Ray has moved internally at JP Morgan to be the APAC Head of Human Resources, based in Hong kong. He moves from Compliance where he was APAC Head of CIB Compliance. 

Darryl Tidman is moving to Zurich to take on a new global AML role within Credit Suisse. Whilst Rayson Tan has been named the Interim Head of Financial Crime Prevention, based in Singapore.

Barbara Leach-Walters has left State Street where she was the Regional Head of Compliance for APAC based in Hong Kong. Her successor has yet to be announced.

Emma Braham Bond has moved to Hong Kong from Singapore, where she was with UBS, to be an Executive Director in Equities Compliance at Morgan Stanley.

Clare Arnold is the new Head of Legal and Compliance at Folger Hill Asset Management. She joins from Hutchin Hill Capital.



Georgina Fogo has left BlackRock, where as she was Global Head of Compliance, to be the new Chief Risk Officer at Janus Henderson Investors.

Chris Egbunike has joined Bovill Consulting as a Managing Consultant from Quadra Capital Partners in London.

Carl Baldwin is the new UK Head of Compliance at Meteor Asset Management. He joins from Wellington Asset Management.

Matt Chapman has joined Aviva within the Financial Crime SME team. He was previously with Standard Chartered in London.

Joanne Taylor has moved internally at Deutsche Bank to be the new Global Head of Whistleblowing, Fraud, Bribery and Corruption at Deutsche Bank and will be based in London


March 2018


Neil Barrie has left Standard Chartered as their Global Head of Compliance, no replacement has yet been announced.



Virginia Noronha has left the SFC where she was the Director of Investment Products. She is joining EY Hong Kong in their regulatory consulting group as an Executive Director.

John Fogarty has joined Commonwealth Bank of Australia in Sydney as an Executive General Manager in Financial Crime Compliance. He joins from HSBC Hong Kong 

Andrew Morentz is leaving Thomson Reuters to join the Royal Bank of Canada in Hong Kong as their Regional Data Privacy Officer.

Jacky Chan has joined Fidelity in Hong Kong as their new Deputy MLRO and Regional Head of Anti-Bribery & Corruption.



Nicola Garrod has returned to Goldman Sachs as a Managing Director in securities compliance. She left Goldman two years ago after 14 years 

Christopher Nason has joined Deutsche Bank as Director, Global Head of Business Intelligence Unit. Christopher was previously a Director in the Corporate Intelligence team at PwC.

Gary Hodson has joined Man Group from Euronext in London as their new Chief Information Security Officer focussing on information security, data privacy and cyber security programmes.

Barry Gibbon has been appointed Data Protection Officer at BMO Financial Group. Barry joins from American Express.

Rhiannon Jones has joined Hiscox as the new Group Data Protection Officer. Rhiannon joins from the Cyber Risk team at Deloitte.

John Elliott takes over the Group Data Protection role after returning to easyJet. John previously worked with Open Banking on API and GDPR issues.

Natasha Tillyard has joined State Street as VP, EMEA Privacy Officer, joining from Fidelity where she held the title of, Associate Director Data Protection / UK Data Protection Officer.

Matt Hudson is promoted to  Group Data Protection Officer at Old Mutual Wealth where he previously held the position of GDPR Specialist.

Cassie Legallienne-Moore joined Volkswagen Financial Services (UK) as DPO. She was previously Compliance Officer at HPS Group.


February 2018


Barclays have lost Francois Jourdain as their Global Head of Compliance at the investment bank. No replacement has been named yet.


Asia Pacific 

Aoife McGillion is the new APAC Head of Regulatory Relations at Bank of America Merrill Lynch. She joins from the Risk and Strategy Unit of the SFC.

Farah Usmani is the new APAC Head of Compliance and Anti-Money Laundering at Northern Trust Corp. She has previously held senior roles within Deutsche and Barclays and will be based in Singapore.

Rachel O’Brien has joined the APAC Anti-Financial Crime team at Deutsche Bank from National Australia Bank and will be based in Hong Kong.

Carmen Easton has joined the APAC Anti-Financial Crime team at Deutsche Bank. She joins from CLSA and will be based in Hong Kong.

Jason Wright has left Kroll and established a new corporate investigations and intelligence consulting firm based in Hong Kong called Argo Associates.

Eva Chan has joined Private Equity Firm Lone Star in Hong Kong. She was previously with Point 72.

Kaushik Saha has joined Barclays in Mumbai as Regional Head of Investigations.



Oonagh Bradley and Richard Charnock have been announced as the new Co-Heads of Compliance for EMEA at Goldman Sachs based in London. Charles Eve has retired.

Michael Hodnett has left Instinet and is joining ED&F Man Capital Markets in London as their new Head of Compliance and MLRO. 

Becky Cray has left Deutsche Asset Management in London and is joining Vanguard as their new MLRO.

Dirk Young has joined Jupiter Asset Management in London to lead their SMCR Project. He joins from Barclays where he fulfilled a similar role and was also the Global Head of Central Compliance.

Andrew Crain has joined PGIM as their Chief Compliance Officer in London. He was previously at BlackRock.

Kingfisher has named Bruno Silveira Group Head of Compliance. Silveira comes to Kingfisher from BG Group where he was Head of Ethics and Compliance for their Brazilian operations.


Exiger have appointed George “Ren” McEachern as Managing Director in the company’s Global Investigations Group.

Jeff Morandi has joined Berkshire Group as a Vice President, Deputy Chief Compliance Officer. He joins from Arrowstreet Capital and will be based in Boston.


January 2018


Wesley Tam has left HSBC and joined China Construction Bank in Hong Kong as Director of Operations and MLRO.

Doris Wong has joined the Hong Kong Jockey Club as a Senior Manager in Compliance. She was previously APAC Head of Ethics at State Street.

Vivek Chatrath has joined Deutsche Bank in Hong Kong as the Regional Head of Investigations. He previously performed a similar role at JP Morgan.

Andy Law has joined Everbright Sun Hung Kai as their Chief Compliance Officer in Hong Kong. He was previously with ANZ.

Adam Redfern has joined Credit Suisse in Singapore as APAC Head of Surveillance. He joins from Goldman Sachs.

Latham & Watkins have hired Catherine McBride in Hong Kong from Deutsche Bank as a Partner, focussing on White Collar Crime.

Carolyn Hanson has joined Paypal in Sydney from Commonwealth Bank of Australia as the Director of Enterprise Risk and Compliance.

Colum Bancroft has joined AlixPartners in Hong Kong as a Managing Director. He joins from Kroll .



Rupert Hague Holmes is the New Regional Head of Compliance at the Royal Bank of Canada for their Wealth Management Division. He moves internally from a global standards role.

John Wynn is the new EMEA Head of Anti-Financial Crimes Risk Management at Wells Fargo. He joins from TD Securities and will be based in London.

Malcolm Wright has left Thomson Reuters in London to join Revolut as their new Chief Compliance Officer.
Philip Wallace has started a new position as Senior Compliance Manager at Langham Hall. He was previously Head of Distribution Compliance at Schroders.

Drew Wnek has joined Danske Bank in London as a Senior Compliance Officer. He joins from Nordea.

Paul Jenkins has joined Societe Generale as their new Deputy Head of Control Room based in London.

Richard Atterbury became Global Head of Internal investigations at Barclays. Richard moved internally and was previously Head of Special Situations.

Katie Smith is now European Head of Legal and Compliance at Vanguard. Katie joins from Deutsche Bank.
Ed Sibley is promoted to Deputy Governor, Prudential Regulation at the Central Bank of Ireland. Ed was previously Director for Credit Institutions Supervision.