In post-crisis penalties, Morgan Stanley stands alone

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The Compliance Exchange News Alert August 27, 2013 Job Spotlight: Anti-Money Laundering Compliance Executive One of America's best and most innovative banks seeks an experienced Anti-Money Laundering Compliance Professional. The BSA/AML Officer is responsible for developing, implementing and overseeing all aspects of the Bank Secrecy Act Compliance Program. A deep knowledge of BSA and Sanctions laws and regulations, including strong expertise in leading industry practices in BSA programs is needed.    The successful candidate will have particular applied expertise in BSA/AML compliance for internationally focused activities, including but not limited to international wires, remittance business, trade finance and commercial and private banking.   For more information and to be considered for this role, please get in touch with Michael Lane - MLane@compliancesearch.com and feel free to pass the link along to someone else, as well.   Click here to read the full description. 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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   Sponsored Compliance Jobs  If you are interested in posting your position on our newsletter and blog please click here for more information Compliance Officer in Dallas, Texas with Tolleson Wealth Management Deputy Chief Compliance Officer in Denver, Colorado with ALPS, Inc. Senior Compliance Examiner, OTC Derivatives in Chicago and New York with National Futures Association (NFA) Manager, OTC Derivatives in Chicago and New York with National Futures Association (NFA) 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 Sponsored By:    Click here for more details Sponsored By:    Click here for more details Sponsored By:    Click here for more details Sponsored By:    Click here for more details In post-crisis penalties, Morgan Stanley stands alone    Nearly five years after the fall of Lehman Brothers, Morgan Stanley has earned some bragging rights. It's the only major bank that hasn't paid a federal fine related to the financial crisis.   Continue to article  Justice Dept. Again Signals Interest to Pursue Financial Crisis Cases    Patience is a virtue, and waiting for cases from the financial crisis has certainly called for such a temperament. In a recent interview, Attorney General Eric H. Holder Jr. indicated that the wait might be over, but it is unlikely to satisfy those who have found the Justice Department's response to be tepid at best.   Continue to article  Goldman losses from options glitch in tens of millions    Goldman Sachs Group Inc (GS.N) lost tens of millions of dollars after a computer glitch led to a flood of erroneous options trades last week, a source close to the matter said on Monday.   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 JPMorgan's former "London Whale" supervisor arrested in Spain    Spanish police arrested former JP Morgan Chase trader Javier Martin-Artajo on Tuesday as he prepares to fight possible extradition to the United States over a $6.2 billion financial scandal at the United States' largest bank.   Continue to article  JPMorgan liable to billionaire Blavatnik over mortgage losses  A New York state judge found JPMorgan Chase & Co (JPM.N) liable to Russian-American billionaire Leonard Blavatnik for breach of contract for stuffing an investment account he held with risky subprime mortgage securities, and ordered the bank to pay more than $50 million of damages including interest.   Continue to article  Sponsored by:    Toyota Financial Services currently have several open compliance roles. Join a dynamic company known for rapid growth and solid success. Please click on any of the links below for more details    Corporate Senior Internal Auditor Counsel - Compliance  Senior Compliance Administrator - Testing & Monitoring  Bob BATS-bashed  We're No. 3! Nasdaq is likely to get bumped from being the second-largest stock exchange in the world after two smaller rivals merge.   Continue to article  Ex-JPMorgan Trader Released, Opposing U.S. Extradition   Former JPMorgan Chase & Co. (JPM) trader Javier Martin-Artajo was released from police custody after telling a Madrid court he opposed attempts by U.S. prosecutors to extradite him on charges he hid trading losses that cost the bank $6.2 billion.   Continue to article  Sponsored by: Please Click Here for More Information SEC's White to Meet With Exchanges on Nasdaq Trading Halt    U.S. Securities and Exchange Commission Chairman Mary Jo White will meet Sept. 12 with the heads of exchanges and other self-regulatory organizations to discuss last week's trading halt in Nasdaq-listed stocks.   Continue to article  New Rules & Regulations 8/27/2013  Rules and regulations of the day.   Continue to article  One Of JPMorgan's Top Lawyers Responsible For Government Probes Is Leaving The Bank  A JPMorgan Chase & Co lawyer responsible for litigation and government investigations is leaving the lawsuit-laden bank.   Continue to article  Sponsored by: Please Click Here for More Information Sponsored by: Please Click Here for More Information UBS agrees to pay $4.6 million in settlement over sales assistants  A unit of UBS AG (UBSN.VX) will pay nearly $4.6 million to settle allegations by multiple state securities regulators that unregistered sales assistants accepted clients' orders to buy and sell securities, New Jersey's highest law enforcement agency announced.   Continue to article  Exclusive: Nasdaq, NYSE at odds on outage cause as SEC seeks facts  U.S. regulators have asked Nasdaq OMX Group (NDAQ.O) and NYSE Euronext (NYX.N) to come up with a timeline of Thursday's three-hour trading disruption, but the rival exchange operators have been unable to agree on the details, according to several sources familiar with the situation on Monday.   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 Former JPMorgan executive involved with the London Whale Scandal... 08-27-2013 08:02:25 AM Former JPMorgan executive involved with the London Whale Scandal was Caught and Released   Former JPMorgan (JPM) employee Javier Martin-Artajo, who was arrested by Spanish police earlier on Monday in connection to a trading scandal at the bank, has been released from custody, according to a Spanish court source....» Tuesday Morning Compliance News Roundup A Bitcoin trade group... 08-27-2013 07:34:00 AM Tuesday Morning Compliance News Roundup A Bitcoin trade group met yesterday with the U.S. Treasury Department's Financial Crimes Enforcement Network and an array of law-enforcement officials and regulators to discuss oversight of the digital currency. ...» The 50 Finest: NYC Retailers Pick Their Favorite Fall Arrivals 08-26-2013 16:50:53 PM For New York Magazine's Fall Preview issue, we asked 50 local retailers (and e-tailers) which goods they were most excited to stock for the upcoming season. Click through the gallery ahead to see their responses, from bright bike locks and chunky throws to leather aprons and studded ankle boots. ...» Shoeshines Keep Wall Street in the Black (or Maybe Brown) 08-26-2013 16:04:03 PM Mauricio Dias was being courted by Wall Street. After losing his job at the investment bank Donaldson, Lufkin & Jenrette when it was sold to Credit Suisse, he received a phone call from the office of Hamilton E. James, the executive who had orchestrated the sale, Mr. Dias said. ...» Madonna is highest-earning celebrity 08-26-2013 13:46:54 PM Pop star Madonna was the world's top-earning celebrity over the past year, trumping the likes of Oprah Winfrey and Steven Spielberg. The 55-year-old Material Girl made an estimated $125m (£80m) thanks to her MDNA tour, clothing and fragrance lines, according to Forbes....» Celine Dion Lists Incredible Florida Estate With Water Park For $72 Million 08-26-2013 13:04:10 PM Celine Dion has long been one of the top-earnering women in music, and her real estate portfolio reflects her incredible wealth. Across North America, the grammy-winning diva owns 6 properties. Now, the international superstar has just listed the crown jewel of her real estate holdings - a 5.5 acre, 17,000 square foot estate with water park - for $72 million! ...» Green activists hope to replace your steak with ... edible algae 08-26-2013 13:00:41 PM On a hotel rooftop in Bangkok, dozens of barrels of green liquid bubble under the sun - the latest innovation in urban farming. -...» Leonardo DiCaprio and Martin Scorsese Explore the Funny Side of Financial Depravity in The Wolf of Wall Street 08-26-2013 13:00:41 PM Imagine a world where a guy can make $12 million in three minutes, where blow jobs are a perk of the gig, dwarfs are tossed to raise employee morale, and inhaling anthills of coke, Scarface style, is encouraged. Now imagine a world where a studio would pass on a movie with a subject that titillating, even if it came tied in a ­Leonardo DiCaprio-and-Martin Scorsese bow....» Jail Becomes Home for Husband Stuck With Lifetime Alimony 08-26-2013 12:55:53 PM Ari Schochet has grown so accustomed to being sent to jail for missing alimony payments that he goes into a routine. Before his family-court hearing, Schochet, 41, sticks on a nicotine patch to cope with jailhouse smoking bans, sends an "Ari Off the Grid" e-mail to friends and family, and scrawls key phone numbers in permanent ink on his forearm....» 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 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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