| | | The Compliance Exchange News Alert | July 31, 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. |
| | Sponsored Compliance Jobs | |
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| Cameron Funkhouser heads a spy agency that most Americans never knew existed. His operation is based in a nondescript beige building in the leafy suburbs outside Washington, a short drive from theNational Security Agency, the CIA and the FBI. Inside, dozens of analysts pore over a torrent of sophisticated data that has become a front line in an aggressive government battle. Continue to article |
US securities regulators brought a new round of cases of alleged insider trading ahead of BHP Billiton's failed bid for PotashCorp, filing fraud charges against a former high-ranking executive at Banco Santander and a former Spanish judge. 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 |
Securities and Exchange Commission chief Mary Jo White aims to introduce new rules that would require publicly traded companies to disclose how much their CEOs earn compared to rank-and-file employees "in the next month or two." Continue to article |
The Department of Justice (DOJ), IRS and U.S. Attorney have announced another huge victory in their all-out war on tax evasion. Liechtensteinische Landesbank AG-LLB for short-will pay $23.8M to the feds but avoid prosecution. See LLB Non-Prosecution Agreement. According to the deal, LLB won't face prosecution for a 10 year stretch of keeping secret accounts for U.S. taxpayers from 2001 through 2011. See DOJ Press Release. 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 told jurors yesterday. Continue to article |
 Rules and regulations of the day. |
As the Janet Yellen-Larry Summers competition to be the next chairman of the Federal Reserve intensifies, President Barack Obama has a third option, which is his first choice: former Treasury Secretary Tim Geithner. Continue to article |
Fabrice Tourre, the former Goldman Sachs trader, was either a greedy scheming liar or a bright young executive just trying to do his job, according to dueling portraits presented during closing arguments Tuesday in the most prominent case from the financial crisis to go to trial. Continue to article |
 MF Global has sued 12 large banks, accusing them of restricting competition in the $25 trillion credit default swap market, the latest in a string of lawsuits alleging that banks impeded new entrants by blocking exchange trading of the contracts. |
A $9 billion rights issue and a fresh purge of assets are among the measures Britain's Barclays and Germany's Deutsche Bank announced on Tuesday to meet tougher rules on risk, raising concern among investors that regulators will push other European banks into similar action. Continue to article |
|  A former Citigroup Inc (C.N) employee was sentenced to more than four years in prison for stealing $1.3 million from a 98-year-old former managing partner at investment bank Salomon Brothers. |
| 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.
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