Nasdaq CEO Greifeld defends decision not to speak to press

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The Compliance Exchange News Alert August 26, 2013 Job Spotlight: Chief Compliance Officer - Swap Dealer Our client is looking for an experienced individual providing independent oversight of the Firm's compliance program to ensure that the Firm's swaps activities comply with applicable rules and statutory requirements of the Dodd-Frank Act and self-regulatory organizations, including opining on the adequacy and effectiveness of compliance processes and status of compliance, establishing and administering policies and procedures, preparing and signing the Annual Report, and resolving any noncompliance issues and conflicts of interest and the adequacy and timeliness of actions taken.   For more information and to be considered for this role, please get in touch with Michael Tuller - MTuller@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 Financial Crime Compliance Testing/AVP Fixed Income Compliance Examiner Municipal Securities Compliance Emerging Markets Compliance Officer Senior BSA/ Anti-Money Laundering Banking Officer Control Room - Deputy Manager Senior Counsel/ Director Market Documentation Compliance Document Negotiator Vice President - Senior Compliance Officer Financial Crime Compliance - Enhanced Due Diligence AVP Anti-Money Laundering Transaction Monitoring VP Compliance Surveillance Associate Investment Bank Syndicate Compliance Director Level Compliance Director, Investigations and Examinations Investment Banking Compliance Attorney Investment Banking/Capital Markets Compliance Attorney Compliance Manager - Futures and Commodities Compliance Director, OTC Derivatives - Regulator Hedge Fund Compliance Analyst Hedge Fund Compliance Attorney Private Equity - Compliance Executive Administrative Assistant Staff Accountant/Product Controller - Boutique Proprietary Trading Firm - Wall Street Compliance Policy Administration Associate Chief Compliance Officer - Private Bank 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   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 Nasdaq CEO Greifeld defends decision not to speak to press    Nasdaq-OMX CEO Robert Greifeld defended the way his exchange handled Thursday's three-hour outage, saying unspecified outside issues were the real problem.   Continue to article  Nasdaq Follies: The Squirrel That Did Not Bark    As of this writing, the squirrels aren't involved. They are not implicated in this week's shutdown of the Nasdaq stock market.   Continue to article  CFTC Said Near Releasing Plans for Regulating High-Speed Trading    The top U.S. derivatives regulator is poised to announce a range of potential methods for overseeing automated and high-frequency trading, according to four peopl   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 Indictments Expected in Alleged Trading Code Theft    The top prosecutor in Manhattan is seeking to indict three men for allegedly stealing valuable computer source code from an automated trading firm, according to people familiar with the matter.   Continue to article  Wall Street won't be giving Long Island con man Mark Hotton a second act  The 47-year-old broker - who pleaded guilty in July to cheating the producers of a troubled Broadway musical out of $60,000 - has been hit with a lifetime ban by the brokerage industry's self-regulatory body, Financial Industry Regulatory Authority, The Post has learned.   Continue to article  JPMorgan is reviewing its correspondent banking unit and not taking on new business from foreign lenders after regulators identified deficiencies in its anti-money-laundering procedures  The bank said in a memo last week that its treasury services unit won't take on new correspondent clients or new business from existing customers who use the bank to process transactions, according to Brian Marchiony, a spokesman.   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  New Rules & Regulations 8/26/2013   Rules and regulations of the day.   Continue to article  Nasdaq, Bitcoin, and the failure of financial regulation    A technical malfunction on Thursday that halted trading on the Nasdaq is the latest example of how financial innovation has outpaced regulation (and maybe always will).   Continue to article  Investor Profits on Tech Error with Nasdaq Stock Options  Technology failed Thursday-but at least one human quickly used the options market to bet that shares of exchange-operator Nasdaq OMX GroupNDAQ -0.10% would take a hit due to the 3-hour shutdown of the Nasdaq Stock Market.   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 Goldman puts four on leave after glitch/  Goldman Sachs has put four senior technology specialists on leave after an embarrassing trading glitch that is likely to cost the bank tens of millions of dollars.   Continue to article  Banks' 1990s Life Insurance Bets On Employees' Longevity Now Haunting Wall St.  In the 1990s, U.S. banks came up with a clever idea: using life insurance to bet that their employees would eventually die. Now those wagers are coming back to haunt Wall Street banks for reasons that have little to do with their employees' longevity.   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 The 15 Highest-Paid Female Top Executives 08-26-2013 13:46:54 PM Well-Compensated Women Bloomberg recently ranked the women who are named executive officers of......» Bloomberg's Advice For Success: Take As Few Bathroom Breaks As Possible 08-26-2013 13:04:10 PM New York Mayor Michael Bloomberg said on his weekly radio show Friday morning that one of the keys......» 9 Habits Of Extremely Productive People: Forbes 08-26-2013 13:00:41 PM It doesn't matter what you do or where you work - everyone is looking for ways to be more......» How This College Student Turned $30,000 Into $250,000 In 1 Step 08-26-2013 12:55:53 PM Last June, U.C. 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We all have the opportunity to grab the brass ring in......» 10 Reasons Why Humor Is A Key To Success At Work 08-26-2013 12:24:59 PM Tasteful humor is a key to success at work, but there's a good chance your co-workers aren't......» Edelstein: The World's End Is the Year's Most Entertaining Movie 08-26-2013 12:22:06 PM The title The World's End denotes two things: the terrible, horrible demise of humankind and the......» The Top 10 Best-Dressed Male Musicians 08-26-2013 12:04:22 PM Fashion and music have long gone hand in hand. Still, not every singer is as smooth in his style as......»   Donald Trump Sued Over 'Phony' University 08-26-2013 12:00:55 PM Donald Trump is being sued by New York's attorney general for $40m (£26m) for his role as......» Video: Rex Ryan Goes A Bit Nutty After Mark Sanchez Gets Injured 08-26-2013 11:57:17 AM Football season is almost upon us, and it seems the Jets have decided to start their annual......» Monday Morning Compliance News Roundup 08-26-2013 10:23:37 AM Monday Morning Compliance News Roundup U.S. Securities and Exchange Commission Chairman Mary Jo White, responding after system errors caused a three-hour halt on the Nasdaq Stock Market last week, said she will push to adopt proposed automated-trading rules. ...» 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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