The Securities and Exchange Commission has named Kathleen Griffin as the agency's first chief compliance officer in an ongoing effort to strengthen its internal compliance program.
Griffin will lead the new, consolidated compliance unit within the SEC's Office of Ethics Counsel and will be charged with streamlining and centralizing oversight responsibilities for employee securities transactions and financial disclosure reporting.
Prior to joining the SEC, Griffin worked at Putnam Investments as vice president, senior compliance manager and deputy code of ethics officer. She also served in senior roles at the Atlantic Trust Company and State Street Global Advisors.
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