Why SAC and not HSBC?

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The Compliance Exchange News Alert July 29, 2013 Job Spotlight: Chief Compliance Officer - Private Bank 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.   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 Compliance, Audit and Risk Specialist Guideline Monitoring Investment Management Compliance Officer Legal and Compliance Associate- Asset Management General Counsel/ Chief Compliance Officer 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   Sponsored Compliance Jobs  If you are interested in posting your position on our newsletter and blog please click here for more information Regulatory Compliance Specialist in Kirkland, Washington with Cobalt Mortgage 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 Sponsored By:    Click here for more details Sponsored By:    Click here for more details Why SAC and not HSBC?   As you are probably well aware, SAC Capital Advisors LP, the eponymous $15 billion hedge fund founded and run by Steven A. Cohen, was indicted (criminal indictment by a federal grand jury last week. The criminal charges could mean the death penalty for SAC.   Continue to article  SEC, CFTC Officials to Testify on Dodd-Frank Implementation   Senators will be questioning top officials of the Securities and Exchange Commission and Commodity Futures Trading Commission on Tuesday about whether implementation of the Dodd-Frank Wall Street reform law is moving too slowly as it moves into its third year.   Continue to article  Manager of Defunct Hedge Fund Pleads Guilty to Fraud    A former hedge fund manager pleaded guilty on Friday to defrauding investors in a $12.6 million scheme, more than five years after the fund collapsed under the weight of failed real estate loans.   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 J.P. Morgan to Sell Commodities Business - Move Comes Amid Regulatory Scrutiny of Wall Street    The largest U.S. bank is getting out of the power-plant and warehouse business, amid heightened regulatory scrutiny of Wall Street's ownership of such assets.   Continue to article  Eight Reasons Why The Compliance Job Market May Get Even Hotter    Compared to other areas, the job market for Compliance professionals is lively and dynamic, with firms hiring and creating exciting and challenging positions.   Continue to article  Sponsored by: Please Click Here for More Information New Rules & Regulations 7/29/2013  Rules and regulations of the day.   Continue to article  Compliance Roundup    Insider trading evidence against SAC Capital Advisors LP includes court-authorized wiretaps, a U.S. prosecutor said at the $14 billion hedge fund's arraignment in federal court in Manhattan.   Continue to article  Hottest trade on Wall Street    Prior to the bankruptcy filing, Detroit's emergency manager, Kevyn Orr, offered to pay bondholders roughly 10 cents on the dollar to help keep the city going.   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 Big Hedge Funds to Swoop on Start-Up Talent  Some of the world's biggest hedge funds, including Marshall Wace, Millennium Management, CQS and BlueCrest Capital Management, are among firms that are capitalizing on a difficult environment for start-ups, hiring potential managers who might once have considered setting up on their own.   Continue to article  The 7 Most Damning Quotes In The SAC Indictment    Steven Cohen and the hedge fund named after him insist they've done nothing wrong in response to a federal jury indicting the firm this morning. If federal prosecutors take SAC to trial, here's what they'll be telling the jury to focus on.    Continue to article  How Aaron Sorkin explains Glass-Steagal  Clip from the HBO Show, Newsroom.   Continue to article  Sponsored by: Please Click Here for More Information Now Trending on Executive Gateway 101 things to do in the summer in New York City 2013 Check out... 07-29-2013 15:00:36 PM 101 things to do in the summer in New York City 2013 Check out the best things to do in the summer, including street fairs, block parties, festivals, outdoor bars, alfresco screenings, beaches and more! See More:  Timeout....» Fannie, Freddie: On Borrowed Time 07-29-2013 12:02:15 PM Even after their financial collapse and massive taxpayer-funded bailout, Fannie Maeand Freddie......»           The Price of being Superheros Infographics. To see more go to... 07-29-2013 11:54:14 AM  The Price of being Superheros Infographics. To see more go to Faith is Torment...» Simpsons Co-creator Sam Simon Donates Fortune after Terminal Cancer Diagnosis 07-29-2013 11:17:22 AM Simpson co-creator Sam Simon is donating his fortune to charity as he battles terminal colon... ...»   CEO Mocks Steve Cohen In Bizarre Full-Page Wall Street Journal... 07-29-2013 10:15:39 AM CEO Mocks Steve Cohen In Bizarre Full-Page Wall Street Journal Ad The background is that Patrick Byrne, chief executive of Overstock.com, is among the most vocal critics of naked short selling, which some investors, including SAC Capital founder Steve Cohen, use to drive down the stock price of companies that they've bet against. ....» SAC Capital Operating Plan to Be Negotiated 07-29-2013 07:17:54 AM The U.S. government plans to negotiate an agreement to allow SAC Capital Advisors LP to continue......» Can Fox Sports 1 Take on ESPN? Fox Sports has a new 24-hour... 07-27-2013 18:55:34 PM Can Fox Sports 1 Take on ESPN? Fox Sports has a new 24-hour cable network that it hopes can take on ESPN's moneymaking machine....» 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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