The State of the Compliance Job Market

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The Compliance Exchange News Alert July 18, 2013 Job Spotlight: VP, Product Compliance Officer, High-Net Worth Client Top-Tier Investment Banking firm seeks a VP Product Compliance Officer to join their compliance team. The Compliance team works closely with management, sales, trading, operations, technology and other areas to help ensure that the firm's high net worth and advisory businesses complies with Firm policies and procedures as well as the requirements of our regulatory authorities, including but not limited to the SEC, FINRA, MSRB and state securities regulators.   If you are a fit, please get in touch with Jack Kelly - JKelly@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 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 The State of the Compliance Job Market    Compliance is one of the hottest areas on Wall Street.   Continue to article  Judge lets U.S. pursue $5-billion fraud lawsuit against S&P    The U.S. government may proceed with its $5 billion lawsuit accusing Standard & Poor's of misleading investors by inflating its credit ratings, after a federal judge rejected the rating agency's effort to dismiss the civil fraud case.   Continue to article  CompliancEX Exclusive: You're Not Going to Like Reading This: The Scoop on Interviewing   You are not going to like reading this. Looking for a job today sucks. It is a long   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 Ex-Goldman Director Rajat Gupta Fined $13.9 Million, Banned From Company Boards In Insider Trading Case    Former Goldman Sachs Group Inc Director Rajat Gupta was ordered to pay a $13.9 million penalty and banned from serving as an officer or director of a public company for having illegally passed corporate secrets to former hedge fund manager Raj Rajaratnam, a top U.S. regulator said on Wednesday.   Continue to article  In Tourre Trial, S.E.C. Wages Battle Against Its Own Witness  The Securities and Exchange Commission had hoped to use Paolo Pellegrini, a chief architect of one of the most lucrative hedge fund bets in history, to support its case against Fabrice P. Tourre, a former Goldman Sachs trader charged with defrauding investors in a complex mortgage security.   Continue to article  Sponsored by: Please Click Here for More Information SEC Said Near Proposal on Disclosure of CEO-to-Worker Pay  Public companies would be required to disclose how much more their chief executives are paid than rank-and-file workers under a rule to be proposed next month by U.S. securities regulators, according to two people familiar with the matter.   Continue to article  Compliance Roundup  Benchmarks underpinning markets from oil to currencies face tougher oversight under plans by global regulators to prevent any repeat of Libor-style fraud.   Continue to article  High-Frequency Traders' Safeguards Come Under Scrutiny  Regulators are ratcheting up their focus on the complex computer systems deployed by high-frequency trading firms, with an eye on whether the systems have adequate safeguards against chaotic trading that can destabilize markets and harm investor confidence.   Continue to article  Sponsored by: Please Click Here for More Information New Rules & Regulations 7/18/2013    Rules and regulations for the day.   Continue to article  The SEC's Trial Of Fabrice Tourre Is Already In Deep Trouble  As "The Wire" taught us, if you come at the king, you best not miss. As the Securities and Exchange Commission is teaching us, if you come at a minion several levels below the king, you had really best not miss.   Continue to article  Sponsored by: Please Click Here for More Information Sponsored by: Please Click Here for More Information JPMorgan in Talks to Settle Energy Manipulation Case for $500 Million    JPMorgan Chase, the Wall Street giant whose reputation in Washington has eroded in a matter of months, is now moving to avert a showdown over accusations that it manipulated energy prices.   Continue to article  BlackRock profit up 32 percent on strong investor demand    BlackRock Inc (BLK.N), the world's largest money manager, said on Thursday that its second-quarter profit rose 32 percent, citing strong global demand from its retail and institutional clients and growth in markets.   Continue to article  Morgan Stanley quarterly profit jumps on stock trading    Morgan Stanley (MS.N) posted a 42 percent increase in quarterly profit on Thursday as stock trading revenue soared, the latest sign that the No. 2 U.S. investment bank is regaining its footing.   Continue to article  Sponsored by: Please Click Here for More Information Sponsored by: Please Click Here for More Information Now Trending at the Executive Gateway When to Say 'No' to a Job Promotion  07-18-2013 15:30:31 PM When to Say 'No' to a Job Promotion Over lunch with her boss, Kathy Uhl was given everything that she'd been working toward career-wise at her Orlando-based cable company. She got a bigger staff, more responsibility and a generous increase in salary and bonuses....» The Live Snail Facial Experience  07-18-2013 15:26:00 PM The Live Snail Facial Experience   A snail climbs to the bridge of my nose, leaving a moist trail of goo on my cheek....» How Putin Uses Money Laundering Charges to Control... 07-18-2013 13:16:42 PM How Putin Uses Money Laundering Charges to Control His Opponents Last Thursday, Sergei Magnitsky was convicted of tax evasion. The only problem was he was not there to hear the verdict read....» RL MAGAZINE 10 Questions with  07-18-2013 13:13:22 PM RL MAGAZINE 10 Questions with Morgan Hoffman RL Magazine meets our newest golf pro, the young and promising New Jersey native named Morgan Hoffmann Explore Now ...» Have You Heard the One About President Joe Biden? 07-18-2013 13:12:42 PM Have You Heard the One About President Joe Biden? That's No Joke. Consider: He is the most quietly effective politician in D.C. (Don't laugh.) The "Most Influential Vice President in History....» Giant Dragon Skull on Charmouth Beach,... 07-18-2013 13:10:59 PM Giant Dragon Skull on Charmouth Beach, Dorset, UK As if "Game of Thrones" wasn't at the top of their game already, the geniuses as blinkbox just installed this massive dragon skull replica in the UK to promote the third season becoming available on their website. According the blinkbox, the project took 2 months to complete, and measures 40 feet long and stands over 9 feet high.  Images: Top- Imgur, Bottom- blinkbox ...» Congratulations to cover man Bryan Cranston and the cast of... 07-18-2013 13:07:25 PM gq: Congratulations to cover man Bryan Cranston and the cast of Breaking Bad on their Emmy Nominations!  ...» M.C. Hammerstein 07-18-2013 13:06:02 PM vanityfair: M.C. Hammerstein | Inside the Box, New York's Hottest Freak Show Photograph by  Mark Schäfer....»   BofA still lagging behind 07-18-2013 13:03:04 PM Breakingviews: BofA still lagging behind...»   Morgan Stanley brings up rear 07-18-2013 13:02:11 PM Breakingviews: Morgan Stanley brings up rear...»   Tory Burch: Building a Brand, Maintaining 'Sanity' 07-18-2013 12:49:26 PM Tory Burch: Building a Brand, Maintaining 'Sanity'...»   The Collapse of Jobs for Working-Age Men  In today's... 07-18-2013 11:59:17 AM The Collapse of Jobs for Working-Age Men  In today's "Single Best Chart," Bloomberg's Scarlet Fu displays the drop off in employment for American males age 25-54....» 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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