Hancock Names Knox VP, Chief Compliance Officer
John Hancock has named Frank Knox vice president and chief compliance officer of its John Hancock Investment Company Operations wing. In this position, Knox is in charge of handling compliance across the company's mutual fund, life insurance and annuity product lines.
Knox comes to Hancock from Fidelity Investments, where he served as vice president of Fidelity Management & Research Co. and assistant treasurer of the Fidelity Group of Funds. Previously at Fidelity, Knox had served as vice president, ethics and compliance officer.
Before joining Fidelity, Knox worked out of the Washington, Chicago and Boston offices of NASD, where he served as director of market surveillance.
"Frank Knox brings a wealth of experience to this position, and we're very pleased that he has joined our team," said James D. Gallagher, Hancock's senior vice president and global chief compliance officer.
Francis Investment Hires Truog as Vice President
Francis Investment Counsel has named Stephanie Truog as its new vice president of client employee education services, as part of an ongoing company initiative to advise and educate its retirement plan sponsors. Truog most recently worked for Strong Capital Management, where she held a variety of positions over the course of 15 years, including managing customer service and, most recently, serving as spokeswoman and director of media relations.
"Stephanie brings a breadth and depth of experience to Francis Investment Counsel," said Michael J. Francis, the firm's president. "She shares our commitment to helping individual retirement plan participants with the critical task of planning for their future."
DST Recruits Winegard for Retirement Record Support
Derek Winegard, a veteran with more than 20 years in the financial services industry, has been tapped by DST Systems as a senior sales executive responsible for retirement plan recordkeeping. Winegard has held executive positions at several firms, including Enterprise Capital Management, American Skandia, Quest for Value Funds and Royal Alliance.
Pusak Now EVP of Sales, Marketing at Quaker Funds
The Quaker Funds has hired Christopher J. Pusak as managing director and executive vice president of sales and marketing. Along with the chief operating and chief compliance officers, Pusak will be part of the management committee reporting to Quaker Chairman Jeff King and Chief Financial Officer Laurie Keyes.
Pusak comes to Quaker Funds from an 11-year stint at Rorer Asset Management, where he served as a principal and helped take the company from $1 billion to $10 billion in assets under management.
Baker Joins Smith Barney As Institutional Director
Bonnie L. Baker, a former director and consulting manager at Merrill Lynch, has left the company for Smith Barney's consulting group, where she is now first vice president and director of institutional services. In this role, Baker is in charge of Smith Barney's institutional business development and client services, reporting to Norman E. Nabhan, national director of the company's consulting group. Before working at Merrill Lynch, Baker managed institutional sales and marketing and served as senior vice president at J. & W. Seligman.
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