The Truth about Not Telling the Truth During an Interview

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The Compliance Exchange News Alert July 26, 2013 Job Spotlight: Advertising, Marketing Material Review Compliance, AVP Our client, a global investment bank, seeks an Advertising, Sales Literature and Compliance Marketing Material Review Analyst. This individual will be responsible for the review and approval of marketing material and communications with the public, including market commentary. The individual filling the role will work with a team to review marketing material, presentations, and other client communications created by various constituents and ensure the material is compliant with both the Investment Advisors Act of 1940 and FINRA Communication guidelines. Additional responsibilities may include ancillary projects such as; maintaining current the Wealth and Investment Management Communications Policy, procedures, and disclosure library, as well as developing training materials.   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 Surveillance Compliance Officer 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 The Truth about Not Telling the Truth During an Interview   There are at least three rules you should follow with respect to telling the truth about your compensation during an interview:   Continue to article  A Relentless Prosecutor's Crowning Case   In recent years, Preet Bharara has prosecuted members of the powerful Latin Kings gang in Newburgh, N.Y., exposed corrupt state politicians and convicted terrorists.   Continue to article  SAC Capital pleads not guilty to insider trading charges    Steven Cohen's hedge fund, SAC Capital Advisors, pleaded not guilty to insider trading charges in federal court on Friday.   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 RBS, Barclays, HSBC Face $4bn Sub-Prime Fines as UBS Pays $885m to Fannie Mae and Freddie Mac    UBS will pay $885m in a settlement with US regulators over allegations the scandal-ridden Swiss bank misrepresented mortgage-backed bonds during the housing bubble, sending a shiver through the City of London as more huge fines loom for top British banks.   Continue to article  Whistleblowers May Go to SEC if Court Ruling Sticks    Employees have to report their grievances to the Securities and Exchange Commission in order to be protected from retaliation as whistleblowers under Dodd-Frank, a recent court ruling affirmed.   Continue to article  Sponsored by: Please Click Here for More Information New Rules & Regulations 7/26/2013  Rules and regulations of the day.   Continue to article  Obama Said Not Ready to Decide on Fed Chief for Several Weeks    President Barack Obama won't announce a replacement for Federal Reserve Chairman Ben S. Bernanke at least until September, according to an administration official.   Continue to article  Defense Tries to Show Sympathetic Side of Ex-Trader    Fabrice Tourre has been painted by the Securities and Exchange Commission as one of the great villains of the financial crisis, a smart Goldman trader who duped unsuspecting investors into buying toxic real estate securities he knew were doomed to fail.   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 Banks shiver as UBS swallows $885 million U.S. fine  UBS will pay $885 million in a settlement with a U.S. regulator over allegations the Swiss bank misrepresented mortgage-backed bonds during the housing bubble, paving the way for billions more to be paid by other banks.   Continue to article  SAC Case Threatens a Wall St. Cash Cow     Wall Street now has to contemplate life without SAC Capital Advisors, the hedge fund that manages billions of dollars.   Continue to article  Wells Fargo has quietly become a powerhouse  Wells Fargo has stolen the title (paywall) of world's largest bank by market capitalization from the Industrial & Commercial Bank of China (ICBC). Wells now wields a market capitalization of $236 billion.   Continue to article  Sponsored by: Please Click Here for More Information Now Trending at the Executive Gateway Who loses out under Obamacare When the state-based insurance... 07-26-2013 14:55:30 PM Who loses out under Obamacare When the state-based insurance exchanges open next year under Obamacare, many Americans should finally have access to affordable insurance.....» From Billionaire to Millionaire in One Day 07-26-2013 14:38:29 PM From Billionaire to Millionaire in One Day Brazil businessman Eike Batista has seen better days....»    Mick Jagger Turns 70 While The Rolling Stones Tours Add Up to... 07-26-2013 14:14:14 PM Mick Jagger Turns 70 While The Rolling Stones Tours Add Up to Billions Happy 70th birthday Mick Jagger! Hard to believe The Rolling Stones lead singer is a septuagenarian...»     Your work wardrobe dilemmas solved! 07-26-2013 13:32:07 PM Your work wardrobe dilemmas solved! Starting a new job and fretting over your wardrobe woes more than the workload? Or maybe you're in need of a little fash-spiration when it comes to getting ready for the office every day? Whatever your work wardrobe dilemma, we're here to help you kick it stylishly....» Is this the end for Dolce and Gabbana? 07-26-2013 13:30:21 PM Is this the end for Dolce and Gabbana? Is this the end of Dolce and Gabbana as we know it? If we are to believe reports that have been doing the rounds over the past 24 hours, the answer just might be a very regrettable "yes". If designers Domenico Dolce and Stefano Gabbana end up having to pay the £296.1 million fine they incurred for alleged tax evasion, their much-loved Dolce and Gabbana label might be forced to close....» Hamptons beach home sales hit new record 07-26-2013 13:28:25 PM Hamptons beach home sales hit new record The wealthy are flocking to the beach this summer-and so is their money. Real estate sales in the Hamptons hit a record in the second quarter, according to a new report from brokerage firm Douglas Elliman and Miller Samuel, the appraisal and research firm....» Sometimes, the boss really is a psycho 07-26-2013 13:25:28 PM Sometimes, the boss really is a psycho The bully, the narcissist, the know-it-all, even the psychopath. We may not like them, or want our children to be like them. But chances are, almost everyone who has worked long enough has a horror story about a superior who generally behaved like Homer Simpson's boss, Mr. Charles Montgomery "Monty" Burns. ...» George H.W. Bush: Shaving head was 'right thing to... 07-26-2013 10:33:17 AM nbcnews: George H.W. Bush: Shaving head was 'right thing to do' (Photo: TODAY) Barbara Bush tells TODAY she was initially "shocked, surprised and thrilled" when she saw the former president's bald head. He shaved it in support of a little boy battling leukemia.  "It was the right thing to do," President Bush said.  More from TODAY ...» Eight Reasons why the Compliance Job Market May Get even Hotter 07-26-2013 09:46:00 AM The job market for Compliance professionals, compared to other areas, is lively, dynamic, hiring,......» Revenge of the Nerds: Being Popular in High School... 07-25-2013 21:05:16 PM theatlantic: Revenge of the Nerds: Being Popular in High School Doesn't Make You Rich, After All Last year, a study found that extra friends in high school translated into extra pay in middle age. But new research says otherwise. Read more. ...» What Can You Buy With 4 Years Tuition? 07-25-2013 20:55:29 PM What Can You Buy With 4 Years Tuition?...»   Inside Forbes: Top Colleges Issue 07-25-2013 20:54:11 PM Inside Forbes: Top Colleges Issue...» 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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