SEC Names First Chief Compliance Officer
Kathleen Griffin joins the agency from Putnam Investments.
March 31, 2010 at 08:00 PM
1 minute read
The original version of this story was published on Law.com
The Securities and Exchange Commission (SEC) named Kathleen Griffin its first chief compliance officer Thursday. The appointment is the latest step in the SEC's efforts to strengthen its internal compliance program, the agency said in a statement.
In the newly created role, Griffin is expected to restructure oversight of employee securities transactions and financial disclosure reporting.
“We have established a system of real-time financial reporting, and we are fortunate to have a proven compliance professional like Kathleen on board to greatly strengthen our program,” SEC Ethics Counsel William Lenox said in a statement.
Griffin previously served as vice president, senior compliance manager and deputy code of ethics officer at Putnam Investments.
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