Breaking Up (With Your Job) is Hard to Do

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The Compliance Exchange News Alert July 25, 2013 Job Spotlight: Surveillance Compliance Officer In connection with regulatory reform under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank"), our client, an Inter Dealer Broker Dealer, intends to establish and operate a facility for the trading of swaps and security-based swaps (a "Swap Execution Facility," or "SEF").    The SEF requires a Surveillance Officer ("SO") who will assume responsibility for conducting the SEF surveillance program that will enable the SEF to comply with the relevant provisions of Dodd-Frank. Additionally, the SO will work with both IT and Market Operations to ensure ongoing adequacy of the surveillance program.   If you are a fit, please get in touch with Michael Tuller - MTuller@ComplianceSearch.com Feel free to pass the link along to someone else, as well.   Click here to read the full description. Connect With Us We are now on Instagram! ComplianceJobs.com Provided by Click here to see Jack Kelly speaking at an event on Recruiting with Social Media and be awarded as an Elite Recruiter Executive Director, Head of Anti-Money Laundering Financial Crimes Compliance Attorney Advertising, Marketing Material Review Compliance, AVP BSA/Anti-Money Laundering Compliance Officer Litigation Paralegal Analyst- Investment Bank VP, Product Compliance Officer, High-Net Worth Client Senior Compliance Analyst, Policies and Procedures Senior Compliance Training Analyst Senior Compliance Officer - Investment Advisory Head of Training, Policies and Procedures Anti-Money Laundering , Financial Crimes Compliance Control Room AVP Business Development Manager -AML Software Sales Financial Investigations Unit Analyst Compliance Testing Manager Hedge Fund Compliance Associate Hedge Fund Compliance Officer VP - Anti-Money Laundering Advisory Compliance - Global Transaction Bank Data Loss Prevention Surveillance - Analyst Chief Compliance Officer - Private Bank Investment Guidelines - Compliance Analyst Compliance Assistant - Private Equity/Alternative Investment Large Holdings Compliance - AVP Associate Director of Bank Regulatory Affairs Deputy Chief Compliance Officer Chief Compliance Officer - Hedge Fund Compliance: Branch Office Inspections & Internal Controls Testing Experienced Executive Recruiters & Recruiter Trainees Compliance Director - Trust Logistics Compliance Compliance Manager - Wrap Accounts Director, Monitoring and Testing Compliance Officer Financial Crime Compliance Change Management - Senior Project Manager/Team Leader - Vice President Anti Money Laundering Compliance Officer Vice President Compliance - Merchant Banking & Real Estate Division Legal Analyst - Paralegal - Asset Management SENIOR ACCOUNTANT - COMMODITIES BROKERAGE Senior Compliance Advisor, Regulatory Reform Dodd-Frank, Futures, Swaps Control Room - Compliance Officer Vice President, Compliance Policy Business Unit Compliance Officer - Prime Services Anti Money Laundering Cross Border Services Equities Trading Floor Compliance - VP Chief Compliance Officer - Consumer Bank Compliance Counsel - Consumer Bank Compliance Officer - Asset Management VP, Investment Advisory Compliance Corporate Policies & Procedures Compliance Sales Material Compliance Senior Associate Compliance Manager Internal Auditor Registrations Compliance AVP FX Currency, Fixed Income Compliance Regulatory Compliance Manager VP Institutional Bank Compliance Insurance Regulatory Compliance Compliance Officer Advisory - Registered Investment Advisor Futures Trade Surveillance Compliance - VP  Compliance Officer - Anti-Bribery and Corruption Compliance Officer - Anti-Money Laundering Securities Compliance Officer - VP Bank Compliance Testing & Monitoring VP  Senior Compliance Officer - Fair Lending Equities Sales + Trading Floor Compliance Advisory - AVP Privacy and Information Risk Governance - VP Records Management Compliance Head - VP Fixed Income / Credit Compliance, Director Level Designated Market Maker Surveillance Analyst VP Fixed Income Surveillance Consumer Banking Compliance Officer VP, Anti-Money Laundering Compliance, Transaction Monitoring AVP, Anti-Money Laundering Compliance, Transaction Monitoring Compliance Officer - Employee Trading and Private Investments/Outside Affiliations - VP VP - Compliance Training Vice President Equities Advisory Compliance Banking Compliance Officer - Division of Investment Bank Compliance Management Consultant - Hedge Funds Bank Regulator\y Compliance - VP/Director Bank Regulatory Compliance - AVP/VP Compliance Officer -Change Management Chief Compliance Officer - Asset Management in California Financial Crime Compliance - Enhanced Due Diligence Compliance Coverage Officer for US Finance Anti-Money Laundering Optimization Statistician Regional Team Manager Compliance Product Solutions Anti-Money Laundering - Program Management Office Senior Manager Legal Counsel or Senior Compliance Advisor, Regulatory Reform Senior Compliance Officer- Reporting Compliance - Broker Dealer Division of Asset Management Company Head of Compliance and Regulatory Risk Policies & Procedures Compliance Officer Fixed Income, Structured Products - Compliance Chief Compliance Officer - Registered Investment Advisor Division Compliance Quality Assurance Testing - Investment Bank Records Management Compliance - AVP Anti Money Laundering Compliance - Latin American Compliance Officer - Dodd-Frank Testing + Swap Dealer + Futures Commission Securities Testing Compliance Officer Bank Testing Compliance Officer  Chief Compliance Officer/ Associate General Counsel - Hedge Fund VP-Counsel Investment Management Compliance Manager Employee Trading and Surveillance    VP Institutional Lending Compliance   Head of Operations/ Chief Compliance Officer  Model Review Fair Lending: Compliance Analyst and Manager Analytics Fair Lending: Compliance Risk Analyst Portfolio Management and Trading Surveillance Compliance, AVP Director, Head of Investment Advisory Compliance VP, Portfolio Management and Trading Surveillance   Sponsored Compliance Jobs  If you are interested in posting your position on our newsletter and blog please click here for more information Senior Compliance Analyst in Arlington, Virginia with Sands Capital Management Sr. Regulatory Compliance Analyst in Denver, Colorado with ALPS, Inc. Senior Compliance Advisor in Boston, Massachusetts with Fidelity Capital Markets Senior Manager, Ethics & Compliance in New York with Bertelsmann, Inc. Fair Lending Officer in Kirkland, Washington with Cobalt Mortgage Senior Marketing Compliance Analyst in Texas with USAA Anti-Money Laundering Consultant-3 Month Contract Opportunity in New York with Navigant Senior Compliance Consultant in San Francisco, California with Gordian Compliance Solutions, LLC Senior Counsel and Compliance Manager in New York with Patriarch Partners, LLC Senior Compliance Officer in St. Louis, Missouri with NISA Investment Advisors, L.L.C Sr. Compliance Associate in NY with R.J. O'Brien & Associates LLC   Sponsored By:    Click here for more details Sponsored By:    Click here for more details Breaking Up (With Your Job) is Hard to Do    Once you've decided to leave your job, everything you dislike about it suddenly seems much more tolerable. The guy down the hall that you hate really isn't so bad. Your boss is not that evil, and you don't mind the commute as much as you thought you did.   Continue to article  Elizabeth Warren: Annoying Or Leading?   The quick answer to the headline question is: both. Senator Warren is extremely annoying to the folks who don't like her attempts to regulate the financial services industry.   Continue to article  Get the hell out, NY reps. tell Weiner; Rangel on Huma - 'I don't ever recall seeing a wife looking and feeling so sad and embarrassed'    New York's congressional delegation turned up the heat on Anthony Weiner yesterday, with Rep. Charlie Rangel torching his former colleague for again humiliating his beleaguered wife.   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 We should worry about the revolving door for jobs    The news that Dave Hartnett, the UK's chief tax collector, has become a consultant to Deloitte, is hardly shocking because so many now pass through the revolving door. In France, when public servants cash in by taking private sector jobs, it is called pantouflage.   Continue to article  Witness in Tourre Case Describes Difficulty in Knowing Deal's Friends From Foes    A transaction named Abacus 2007-AC1 became one of the most infamous trades of the financial crisis, netting more than $1 billion for Paulson & Company, a hedge fund that successfully wagered that the housing market would crash.   Continue to article  Sponsored by: Please Click Here for More Information New Rules & Regulations 7/25/2013  Rules and regulations of the day.   Continue to article  Limp XXXcuse: Weiner blames rocky marriage for sext relapse    Anthony Weiner came up with an extraordinary excuse yesterday to explain why he went back to sexting after supposedly kicking the habit - he was suffering from marital woes.   Continue to article  Sponsored by: Please Click Here for More Information Sponsored by: Please Click Here for More Information Sponsored by: Please Click Here for More Information Wall Street Gamblers' Insurance, Courtesy Of Uncle Sam  Your tax dollars still provide FDIC insurance to banks that have the best deal a gambler ever dreamed of. When they take big risks and win, they win big. When they take big risks and lose, they can count on both the FDIC safety net and, in a worst-case scenario, a too-big-to-fail government bailout.   Continue to article  Nasdaq, others hacked in multimillion-dollar fraud Five charged in breach that led to $300 million in losses    More than a dozen companies, including the Nasdaq Stock Market, were the target of what prosecutors described as one of the largest data breaches uncovered to date, which resulted in "hundreds of millions of dollars" in losses, according to court documents made public Thursday.   Continue to article  The SEC Says It Wants Big Banks To Admit Guilt, But Doubts Remain  Remember when federal Judge Jed Rakoff scared the bejesus out of Wall Street in 2011? That's when he refused to sign off on a $285-million civil settlement between Citigroup and the Securities and Exchange Commission over a massive mortgage fraud case.   Continue to article  Sponsored by: Please Click Here for More Information Now Trending on the  Executive Gateway    Nine Inch Nails Is... 7-25-2013 15:48:52 PM Nine Inch Nails Is Back Onstage, With a Vengeance Trent Reznor was not happy. Sitting ramrod straight, dressed in a black T-shirt and black shorts, he was staring with grim concentration as his band, Nine Inch Nails, worked through their set in a full-scale production rehearsal at the Los Angeles Sports Arena. Smoke, strobe lights and video screens on wheels restlessly reconfigured themselves as the band performed, without Mr. Reznor's lead vocals and instruments. Through song after song, his glare and scowl barely wavered; he'd look away only to tap notes into his laptop. After the band ran through the full set, he convened the musicians and technicians in a back room, well away from a visiting journalist.   Continue Reading:  NYtimes....»     Last Boston bombing victim leaves hospital exactly 100 days... 07-25-2013 14:55:20 PM Last Boston bombing victim leaves hospital exactly 100 days after April 15 attack The last person injured in the Boston Marathon bombings who is still in the hospital is being discharged, exactly 100 days after the attack that killed three people and wounded more than 260. Marc Fucarile lost his right leg and suffered severe burns and shrapnel wounds when the second of two bombs exploded near him and a group of friends who were at the finish line to watch another friend complete the run. Two other people in his group also lost legs. Fucarile's relatives, doctors and therapists gathered at the lobby of Spaulding Rehabilitation Hospital on Wednesday morning to say farewell as he headed home for the first time since the April 15 bombings. Spaulding officials say Fucarile is the last person injured in the explosions to leave a hospital. Source: NYpost...»   GQ Selects: August View All:  GQ. 07-25-2013 14:50:00 PM GQ Selects: August View All:  GQ....»   "Refreshingly Honest": Cate Blanchett on Working with Woody Allen 07-25-2013 13:41:00 PM In Woody Allen's latest film Blue Jasmine-in theaters July 26-Cate Blanchett takes on the title......»     Steve Cohen's worst nightmare If anyone keeps SAC... 07-24-2013 18:09:28 PM Steve Cohen's worst nightmare If anyone keeps SAC Capital Partners founder Steven Cohen up at night, it's Preet Bharara, the U.S. Attorney for the Southern District of New York. The prosecutor has made a name for himself going after insider trading, and he's got Cohen's firm in his crosshairs. ...»   New Film Clip: 'Jobs' 07-24-2013 18:07:39 PM New Film Clip: 'Jobs'...»   Obama: Nearly All Income Gains Flow to Top 1% 07-24-2013 16:05:19 PM Obama: Nearly All Income Gains Flow to Top 1%...»   Sponsored by: Please Click Here for More Information Sponsored by: Please Click Here for More Information Sponsored by: Please Click Here for More Information Sponsored by: Please Click Here for More Information Sponsored by: Please Click Here for More Information CompliancEx provides our viewers with in depth industry articles, seminar and conference information, advertisers relevant to Compliance and a chance to write editorials for our blog.                                                                  CompliancEX- The Compliance Exchange                www.CompliancEX.com Join Our Mailing List

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