Snapshot of key global Compliance appointments

October 2016 - January 2017

Lisa Chitty, UK Compliance Officer at American the Investment . Asset and Wealth Management Express joins as Head of Compliance and Risk. Michael Broadbery Head of Securities Division Jessica Skinner, Chief Compliance Officer at Lockton Compliance for Asia Pacific at Goldman Sachs has Retirement Services becomes Chief Compliance Officer Global Banking Groups relocated from Hong Kong to London with the bank, and Director of Operations at Dean Capital Jennifer Taylor, EMEA COO at Bank of America becoming Head of Securities Division Compliance. Management. Merrill Lynch becomes EMEA Head of Compliance. Lou Rauchenberger, Chief Compliance Officer at Joshua Pietersen, Asia Pacific Head of Business Frederick Reynolds, Global Head of FIU at Bank of JPMorgan is being replaced by Frank Pearn, CAO Compliance at Fidelity has left the organisation. America Merrill Lynch joins as Global Head of Compliance. David Kowalski, Chief Compliance Officer at Janus FIU. Jinny Lam, PWM Operations at Goldman Sachs joins Capital becomes Chief Risk Officer. Paul Tufaro, Global Head Corporate Compliance at UBP as APAC Head of KYC and Client Onboarding. Neil Donnelly, Global Head of Compliance at Pioneer Citi joins CIT as Chief Compliance Officer. Doug Seefus, Chief Compliance Officer for Investments joins M&G Investments as Chief Richard Ziegenbalg, Global Head of Front Office Retirement at Wells Fargo takes on a broader role as the Compliance Officer. Supervision at Barclays joins Citi as Global Head of ICG Director of Wealth and Investment Management Nick Styman, Head of Global Compliance at TIAA Surveillance. Regulatory Affairs. Henderson Real Estate joins Neuberger Berman as Chief Stephen Ditaranto, Global Head of Surveillance for Compliance Officer for EMEA & LATAM. Regulators ICG Compliance at Citi joins Deutsche Bank as Head of Retail Global Surveillance Co-ordination. Brad Bennett, Head of Enforcement at FINRA is leaving the organisation. A search has begun for his Jennifer Connelly, Head of Compliance & Conduct Mark Shaffer, Director and Counsel: Regulatory successor. Assurance at Bank becomes Head of Compliance Advisory, Enforcement, Investigations and Litigation at for UK and Ireland at Experian. UniCredit joins Deutsche Bank as Director, GH of Melissa Hodgman, Assistant Director at SEC becomes Compliance Policies and Communications. Gerard Hurley, former Compliance Manger at Associate Director within SEC Enforcement Division. Funding Circle UK, steps into the role of UK Head of Sarah Smith, Global Controller at Goldman Sachs Compliance. becomes Chief Compliance Officer, replacing Alan Cohen who is retiring. Shannon Stickland, Strategic Policy Lead at Williams & Glyn joins RSA as Group Financial Crime Officer. Felicia Rector became Head for Securities Compliance in the Americas for Goldman Sachs, a promotion from Allan Reid, the former Head of Financial Crime at her previous position as Co-Head of Securities Williams & Glyn joins Sainsbury’s Bank as Head of Compliance alongside Carmine Venezia and Kathleen Financial Crime. Jack. Philip Doyle, Consultant at FICO joins Tandem Bank Tom Matthias, Deputy Global Head of Securities as Head of Financial Crime (MLRO) Division Compliance at Goldman Sachs has moved into

1 The Human Capital Specialists | www.leathwaite.com/market-reports