| | | The Compliance Exchange News Alert | July 30, 2013 |
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Our Our client, a national boutique advisory firm focused on serving a select group of wealthy individuals, families, foundations and endowments is currently seeking to hire a Chief Compliance Officer.
The Chief Compliance Officer is responsible for identifying and managing industry regulatory compliance issues and the impact it may have on the firm's trust group, the Registered Investment Adviser and the BSA/AML program. The ideal candidate will develop and maintain internal compliance policies and procedures; work with regulatory agencies to resolve problems and implement new regulatory procedures.
Must be knowledgeable of OCC and SEC rules and regulations and able to execute an annual plan that is in compliance with these rules and regulations. Work with clients, business lawyers, and supervise 2-3 compliance staff. If you are a fit, please get in touch with Jack Kelly - JKelly@ComplianceSearch.com and feel free to pass the link along to someone else, as well. |
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| Big banks are urging Bloomberg LP, which is probing a privacy breach, to focus on whether employees engaged in "scraping" and other data-mining practices. Continue to article |
Former Goldman Sachs Group Inc. (GS) Vice President Fabrice Tourre, accused of fraud for his role in a failed $1 billion investment tied to the housing market collapse, perpetrated a "very simple" scheme aimed at feeding "Wall Street greed," a government lawyer said in his closing argument. Continue to article |
JP Morgan was shocked to learn that the FERC is striking them with charges of alleged manipulation of the energy markets. The announcement hit CEO Jamie Dimon like a lightning bolt. Continue to article |
| Sponsored by:  Pace University and the Association of International Bank Auditors (AIBA) announce a NEW and EXPANDED CCRP® program starting September 5, 2013. This six-month program with 20 three-hour sessions adds two new modules on securities law and consumer protection law. For more information, contact Professor John James, Pace University Graduate Center, One Martine Avenue, Room 520, White Plains, NY 10606,jjames@pace.edu, 203-536-9955 Please Click Here for More Information |
If recent polls hold, Eliot Spitzer will be New York City's next comptroller. Given he was known as the "Sheriff of Wall Street" during his tenure as Attorney General, many in the industry fear what a "Comptroller Spitzer" will mean for Wall Street. Continue to article |
A former stockbroker who conned the Broadway producers of a failed production of "Rebecca" pleaded guilty to fraud charges on Monday but not without hinting at more drama, promising through his lawyer there is a "chapter yet to be written in this saga." Continue to article |
 Rules and regulations of the day. |
An investment banker and husband of a powerful Manhattan real-estate broker - who was distraught over an ongoing battle with his co-op board involving the family's three dogs - jumped out the window of his seventh-floor Upper East Side apartment yesterday. Continue to article |
If you're wondering why a few very large banks in the United States play such a big role in the commodities markets, you aren't alone. Most people reading the New York Times' article on Goldman's weird, confusing and very profitable role in warehousing aluminum probably found themselves scratching their heads a bit. Continue to article |
The U.S. Securities and Exchange Commission rested its case against Fabrice Tourre, the former Goldman Sachs Group Inc. (GS) vice president accused of civil fraud for his role in a failed $1 billion investment related to the housing market crash. Continue to article |
So it turns out that women don't like it when their bosses give them a book that suggests they flirt their way to top. Continue to article |
 Barclays (BARC.L) is raising 5.8 billion pounds ($8.9 billion) from its shareholders to help plug a larger-than-expected capital shortfall identified by Britain's financial regulator at the 320-year-old bank. |
Deutsche Bank, Germany's largest, said Tuesday its second-quarter net profit fell by half in the second quarter because of lawsuit expenses and higher taxes. Continue to article |
|  The wife of a wealthy banker missing since his light aircraft crashed into the Channel today dismissed suggestions that he had faked his own death. |
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