This week in personnel announcements and new hires, the CFTC named Aitan Goelman director of its division of enforcement, Grace Vogel joined PwC’s financial services regulatory practice, Schroders welcomed Seth Finkelstein, the Hedge Fund Association named three women to leadership positions, and David Shepherd joined the Phoenix Cos.
Also, Clearbrook Advisors announced three staffing changes; U.S. Bank announced three additions; Quovo added Zohar Swaine to its board; and Dorothy Militar joined Advisor Partners.
Goelman Named Director of Enforcement at CFTC
The Commodity Futures Trading Commission (CFTC) has named Aitan Goelman director of its division of enforcement.
Goelman, an adjunct professor at George Washington Law School, joins from law firm Zuckerman Spaeder LLP. Previously he served in the Department of Justice for nine years, including as an assistant U. S. attorney in the southern district of New York and as a special attorney to the U.S. attorney general.
Vogel Goes to PwC
Grace Vogel has joined PwC U.S.’ financial services regulatory practice as a senior strategy and policy advisor.
Prior to joining, Vogel was the Financial Industryt Regulatory Authority’s executive vice president for member regulation since the organization’s inception in 2007. She had previously served as EVP for member firm regulation at the New York Stock Exchange (NYSE) until its regulatory operations merged with the National Association of Securities Dealers (NASD) to form FINRA. Earlier she served for more than a decade in key financial roles at large global banks, including deputy controller at Citigroup and controller at Citibank. Before that she was the chief accounting officer at JPMorgan and chief financial officer at J.P. Morgan Securities.
Schroders Welcomes Finkelstein
Schroders has announced that Seth Finkelstein has joined in the newly created role of U.S. product manager, portfolio solutions, within its multiasset and portfolio solutions business (MAPS). He will be based in the New York office and report to Adam Farstrup, U.S. product manager, multiasset.
Finkelstein spent more than 7 years at ING Investment Management as SVP and client portfolio manager. Prior experience includes senior positions at Seneca Capital Management, Cohen & Steers and J.P. Morgan Investment Management.
Hedge Fund Association Adds Three Female Leaders
The Hedge Fund Association announced that it has named three women to leadership positions in the organization. Deirdre Brennan, FINalternatives publisher, was named U.K. regional chapter director; Amy Poster, C&A consulting director, was named to the regulatory and government advisory board; and April Rudin, HFA high-net-worth chairwoman and CEO of the Rudin Group, was named to the board of directors. In recognition of these members’ accomplishments, the HFA also announced that it is offering a complimentary six-month membership to all female hedge fund professionals worldwide including managers, investors and industry service providers. Brennan founded FINalternatives in 2005 as the premier independent source for news on the alternative investment industry. Earlier she was an editor at Institutional Investor News, where she developed a series of online newsletters including Hedge Fund Daily.
Poster was previously a senior policy advisor at the Treasury Department’s Office of the Special Inspector General-TARP (SIGTARP). Earlier, she spent more than 15 years at four investment banks including Credit Suisse; Donaldson, Lufkin, and Jenrette; Bear Stearns and Lehman Brothers.
Rudin founded the Rudin Group, an UHNW/HNW financial services marketing firm, in November 2009. She began her career at Kelly Services, where she initiated and led global technology programs and marketing. She has been HFA’s HNW advisory board chairwoman since December 2012.
Shepherd Joins The Phoenix Cos.
The Phoenix Cos. Inc. announced that David Shepherd has joined as vice president and corporate auditor. He reports to Bonnie Malley, EVP and CFO, and the audit committee of the board of directors.
Shepherd, with more than 15 years of audit, financial reporting controls and risk management experience in the insurance industry, was most recently assistant vice president, internal audit, at Lincoln Financial Group.
Clearbrook Advisors Appoints Three
Clearbrook Global Advisors has announced that Timothy Ng has been named CIO, Jay Tubianosa has been appointed chief risk officer and Mark Hong has been named head of research.
Ng has been in the financial industry for 32 years and has been responsible for placing investments on behalf of corporations, pension funds, endowments and foundations, banks, investment advisory firms, and family offices. Tubianosa has more than 24 years of investment experience and Hong, who joined the firm in 2010, has more than 17 years of investment experience.
U.S. Bank Adds Three
U.S. Bank has announced that Amy Foo has been named wealth management advisor for the Private Client Reserve in Los Angeles, Joseph Lombardo has been appointed wealth management consultant for the Private Client Reserve in New York and Joseph Haas has been appointed wealth management consultant for the Private Client Reserve in Milwaukee.
Foo, with an extensive background in finance including alternative investments and asset management, previously served as a consulting group analyst with Morgan Stanley in Los Angeles.
Lombardo, with more than 15 years of financial services experience, previously was SVP at PNC Wealth Management. He also worked for Deutsche Bank and Scudder Investments.
Haas, with more than 18 years of sales and services experience, previously held the position of corporate vice president and officer for PS-Companies.
Quovo Adds Swaine to Board
Quovo has announced that Zohar Swaine has joined its advisory board.
Since 2012, Swaine has been providing consulting services to the industry, serving both as outside advisor and as interim executive for several fintech firms. Earlier, he was managing director at TD Ameritrade from 2007 to 2012. Prior to that, he held various leadership positions at JPMorgan and First Manhattan Consulting Group. His experience spans retail banking, lending, card, brokerage, and securities services.
Militar Joins Advisor Partners
Advisor Partners announced that Dorothy Militar has joined as director of client services and operations.
Prior to joining, Militar was executive director for JPMorgan’s prime brokerage unit. Before that, she had spent most of her career at AXA Rosenberg in a variety of leadership positions within their operations function.
Read the June 4 New Hire Roundup on ThinkAdvisor.