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The Compliance Exchange News Alert July 15, 2013 Job Spotlight: Senior Compliance Training Analyst Our client, a prominent financial services firm, seeks a Senior Compliance Analyst within Compliance Training. They will be primarily responsible for creating, updating and enhancing the firm's corporate and departmental compliance training. This includes drafting original training content, updating existing training content, and working with in-house and third party developers to develop eLearning courses.    The primary focus of this position is on substantive training content and eLearning course development, which includes working closely with subject matter experts across the firm. This position works closely with the Compliance Policies & Procedures Team.   If you are a fit, please get in touch with Michael Lane - MLane@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 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 Compliance Risk Assessment Analyst Operations Compliance, Director Level Sales & Marketing Professional - Compliance Systems    Senior Compliance Analyst - Asset Management    Compliance Officer, Corporate Compliance Testing    Administrative/Executive Assistant & Receptionist      AVP, Financial Crime Investigator - Whistleblower Branch Office Compliance - High Net-Worth Clients  Chief Compliance Officer  Associate/Assistant Vice President - Regulatory Affairs & Compliance  Central Compliance Officer - AVP/VP  Compliance Assistant - Hedge Fund  Senior Compliance Manager  Chief Compliance Officer - Hedge Fund    Sponsored Compliance Jobs  If you are interested in posting your position on our newsletter and blog please click here for more information 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. Regulatory Compliance Manager in Kirkland, Washington with Cobalt Mortgage 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 Counter offers -please don't leave, I promise I'll change!   I'm sorry; I will be different this time. I'll change, I promise. I didn't know you felt this way. You should have come to me first. Please don't go. I bought you flowers, roses and chocolate. I just made reservations for us at your favorite restaurant. I was just about to propose...   Continue to article  SEC takes Goldman's 'Fabulous Fab' to trial in civil fraud case   The U.S. Securities and Exchange Commission heads to trial Monday against a former Goldman Sachs bond trader in a case it says highlights what went wrong on Wall Street in the financial crisis.   Continue to article  Investors, Bank Near Pact in Madoff Cases    In one of the first lawsuits to go to trial involving Bernard L. Madoff's massive fraud, a group of investors is nearing a settlement with a Connecticut bank that they said should have uncovered the Ponzi scheme years before it collapsed, according to a lawyer involved in the cases whose clients aren't settling.   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 SEC frustrated over pace of U.S. financial crisis reforms    Top Securities and Exchange Commission officials are frustrated over lack of progress in finalizing rules for credit rating agencies and asset-backed securities (ABS), seen by regulators as major drivers of the 2007-2009 financial crisis.   Continue to article  Former AIG chief Greenberg sues Eliot Spitzer for defamation    Former American International Group Chief Executive Maurice "Hank" Greenberg sued Eliot Spitzer on Friday, alleging the former New York governor defamed him in several statements to the press, according to the lawsuit.   Continue to article  Britain Charges 2 Former Brokers in Libor Inquiry    British authorities on Monday charged two former brokers at RP Martin Holdings with fraud as part of a widening investigation into the manipulation of global benchmark interest rates.   Continue to article  Sponsored by: Please Click Here for More Information Insider Traders Should Be Ready to Do Hard Time  The length of the sentences being meted out for insider trading have been on an upward trajectory lately, and recent decisions by federal appeals courts in Manhattan and Philadelphia will further that trend.   Continue to article  Compliance Roundup  The Financial Industry Regulatory Authority, the non-governmental regulator of brokerages, is moving to disclose trade information on additional types of securitized debt.   Continue to article  Sponsored by: Please Click Here for More Information New Rules & Regulations 7/15/2013    Rules and Regulations of the day.   Continue to article  Tourre Lawyers Urged to Cut Down Jargon for Jurors' Sake    The judge hearing the Fabrice Tourre securities-fraud trial urged lawyers to "have a heart" and not assume jurors speak Wall Street.   Continue to article  'China's Madoff' Was Executed In Secret    Hunan province businessman Zeng Chengjie - who emerged from poverty to become a major real estate developer - was executed by the Chinese government for fraud and illegal fundraising last week.   Continue to article  Sponsored by: Please Click Here for More Information Sponsored by: Please Click Here for More Information JPMorgan Chase Faces Questions on Potential New Capital Rules    It's often the case that when someone doesn't want to talk about something, it only invites more questions.   Continue to article  Spitzer: Who's afraid of the 'Sheriff of Wall Street'?    If elected New York City comptroller, Eliot Spitzer has vowed to wield power as aggressively as he did as state attorney general, leading some in the financial community to worry that the "Sheriff of Wall Street" might be back.   Continue to article  India Central Bank Imposes $8.3 Million in Fines for 22 Lenders    India's central bank ordered 22 financial firms including State Bank of India and Deutsche Bank AG (DBK)'s local unit to pay a combined $8.3 million in penalties for flouting rules including anti-money laundering regulations.   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 Now Trending at the Executive Gateway Worst Jobs of the Future 07-15-2013 12:14:40 PM Worst Jobs of the Future Kiplinger's David Muhlbaum identifies 10 careers that are on the decline....»   From Turbo to GT3: 50 Years of the Porsche 911 07-15-2013 12:09:26 PM From Turbo to GT3: 50 Years of the Porsche 911 It's one of the most iconic sports cars in the world: Porsche's 911. This year marks its 50th anniversary but looking back it's barely changed...at least on the outside. Bloomberg's Thomas Gibson has more...»   Great rotation still a 'long way' off 07-15-2013 10:41:39 AM The "Great Rotation" out of bonds and into equities has been a hot topic this year, but.....»   Protests Follow the George Zimmerman Not Guilty Verdict 07-15-2013 10:23:26 AM Protests Follow the George Zimmerman Not Guilty Verdict - 2013 - New York Times...» Rallies follow a not-guilty verdict in the murder... 07-15-2013 09:59:00 AM yahoonews: Rallies follow a not-guilty verdict in the murder trial of George Zimmerman, who shot and killed Trayvon Martin, an unarmed, black teenager in Florida....» Photograph by Pedro Armestre- 07-14-2013 11:09:35 AM   People standing on balconies look at participants as they run in front of Alcurrucen's bulls during the first bull run of the San Fermin Festival in Pamplona, northern Spain. From violent protests in Egypt and the start of the holy month of Ramadan to a driverless oil-tanker train explosion in Quebec and the running of the bulls in Spain, TIME presents the best pictures of the week. ...»   What is a 'Ghost Exchange' and should we be... 07-14-2013 11:09:00 AM   What is a 'Ghost Exchange' and should we be Concerned? Mention "Wall Street" and the first image that comes to mind is probably the one fed by movies and the cable channel CNBC: the floor of the New York Stock Exchange abuzz with blue-jacketed brokers rushing to fill orders as electronic displays tick the latest stock prices overhead....» Hedge Fund Billionaire Bill Ackman Needs A Huge Score One of a... 07-14-2013 11:02:27 AM   Hedge Fund Billionaire Bill Ackman Needs A Huge Score One of a hedge fund manager's super powers is the ability to move market's with a few words. On Wall Street, that's like being able to leap tall buildings in a single bound....» Wall Street regulators turn to better technology to monitor markets 07-13-2013 13:15:00 PM The regulators who police Wall Street are ramping up their surveillance of trading activity, using.....»   The GQ Fashion Week Video Report 07-13-2013 12:51:28 PM The GQ Fashion Week Video Report -...»   Will Larry Summers become the the next Federal Reserve... 07-13-2013 12:31:00 PM Will Larry Summers become the the next Federal Reserve Board Chairman? Note: You may best remember him as the arrogant jerk President of Harvard that the Winklevoss Twins complained to about Mark Zuckerberg stealing their business idea for Facebook....» 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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