Senators Ask Why JPMorgan Execs Won't Be Punished For Involvement In FERC Investigation

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The Compliance Exchange News Alert August 1, 2013 Job Spotlight: Compliance Policy Administration Associate Our client a prominent financial services firm seeks a Compliance Associate with project and process management experience. They will be responsible for supporting compliance policy governance process.   Additional responsibilities include being accountable for the planning and management of Policy Governance projects,  e.g. projects for the development and revision of compliance / regulatory policies; management of Policy Governance processes,  e.g. , the review, commentary and approval processes; and the management of Policy documents, e.g. policy inventory, updating, version control, internal / external website posting and archiving/retirement of policies.   If you are a fit, 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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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 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 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 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 Senators Ask Why JPMorgan Execs Won't Be Punished For Involvement In FERC Investigation    Two Democratic Senators on Wednesday asked U.S. energy regulators for more details on how terms of a settlement were reached on alleged power market manipulation in California and the Midwest by a unit of JPMorgan Chase & Co.   Continue to article  A Fallen Wall Street Programmer Tells His Side by The Compliance Exchange on August 1, 2013    Sergey Aleynikov, a former Goldman Sachs computer programmer, has had a complicated journey since being convicted of stealing computer code from the bank. The latest chapter came on Thursday in the form of a profile in Vanity Fair.   Continue to article  The Power Behind the Throne at the Federal Reserve    The debate over whether Janet Yellen or Lawrence H. Summers will be the next Federal Reserve chairman - or some dark horse, Timothy F. Geithner perhaps? - is doubtlessly important.   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 Wall Street into Snapchat, and regulators are on alert   To find evidence of wrongdoing in high finance, it has been the age of email.   Continue to article  Ex-UBS rogue trader Adoboli tries again for appeal    Former UBS trader Kweku Adoboli has re-submitted his appeal against his fraud conviction after a first attempt was rejected, court officials said.   Continue to article  SEC tightens client rules for broker-dealers  The top securities regulator on Wednesday set new rules to protect clients with cash or securities at securities brokers, requiring more disclosure and safeguards from firms including some of Wall Street's largest.   Continue to article  Sponsored by: Please Click Here for More Information Strengthening Oversight of Broker-Dealers by Instituting a Framework to Prevent Another Madoff    The facts surrounding Bernie Madoff's unprecedented fraud are well-known. Through a Ponzi scheme, he stole untold billions over decades.[2] What is not as well-appreciated is that during the vast majority of this time, he operated solely as a registered broker-dealer.   Continue to article  U.S. securities group seeks end of self regulation in exchanges    The largest U.S. securities trade group asked regulators on Thursday to end the self-regulatory status of stock exchanges, saying the structure creates conflicts of interest and should be replaced by some form of outside supervision.   Continue to article  Under Scrutiny, Goldman Offers to Speed Metal Delivery    Goldman Sachs has offered to speed up delivery of aluminum stored in warehouses that it controls as federal authorities examine how delays at the facilities have driven up the price of the metal.   Continue to article  Sponsored by: Please Click Here for More Information Sponsored by: Please Click Here for More Information U.S. judge approves Citigroup $590 million settlement  A federal judge gave final approval Thursday to a $590 million settlement by Citigroup Inc that resolves a shareholder lawsuit accusing the bank of hiding tens of billions of dollars of toxic mortgage assets.   Continue to article  Investment Banking Spurs Profit Surge at Societe Generale    The French bank Société Générale reported better-than-expected second-quarter earnings on Thursday, buoyed by a strong performance in its investment and corporate banking division.   Continue to article  I'm not letting go of this arm!    Credit Suisse is nearing a sale (paywall) of its private equity unit, the Wall Street Journal reported today. JP Morgan announced in June that it is spinning off its remaining private equity arm, One Equity Partners.   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 Now Trending at the Executive Gateway Employees older than you are? How to win respect As larger... 08-01-2013 14:47:00 PM Employees older than you are? How to win respect As larger numbers of Millennials move into management jobs, some face resentment from former peers with more experience. Alas, there's no quick fix...» MLB "Prepared" To Suspend Alex Rodriguez For... 08-01-2013 14:44:32 PM USA Today: MLB "Prepared" To Suspend Alex Rodriguez For Life Hot off the internet machine is this dispatch from Bob Nightengale: Commissioner Bud Selig is prepared to levy a lifetime suspension on New York Yankees third baseman Alex Rodriguez, while suspending about eight others before the weekend, two people with knowledge of the negotiations told USA TODAY Sports. Nightengale's story goes on to say an official announcement is expected Thursday or Friday...» Google Hosts New York City's First 'Geek Street Fair' 08-01-2013 14:43:34 PM A "geek street fair" hosted by Google took over New York City's 14th Street Park with.....» Lamborghini creates 'most extreme' sports... 08-01-2013 14:41:40 PM Lamborghini creates 'most extreme' sports car Lamborghini is referring to its new Gallardo LP 570-4 Squadra Corse as a way to experience the emotion of the race track in a street car. ..»     7 Quiet Career Truths That Speak Volumes 08-01-2013 14:38:13 PM Lately, I have been writing less. With the economy picking up, our marketing and sales recruiters......»     Daily words of wisdom from the GS Elevator Twitter feed 08-01-2013 14:34:48 PM @GSElevator [At the gym] #1: What machine should I use to impress the girls? #2: The......»   Lloyds v Barclays - race for investor demand A... 08-01-2013 10:49:54 AM Lloyds v Barclays - race for investor demand A Lloyds share sale looking doable following H1 results. The snag? Barclays' $9 bln rights issue could suck up investor demand....»   Top Five Fastest-Growing European Car Brands 08-01-2013 10:48:20 AM Top Five Fastest-Growing European Car Brands...»   Dan Aykroyd Celebrates 'Trading Places' Turning 30 08-01-2013 10:37:53 AM Dan Aykroyd Celebrates 'Trading Places' Turning 30...»   No hint of stimulus pullback in the US even as growth improves -... 07-31-2013 17:37:10 PM No hint of stimulus pullback in the US even as growth improves - economy - euronews...»   Banking Hearing on Wall Street Reforms Senator Elizabeth... 07-31-2013 15:34:01 PM Banking Hearing on Wall Street Reforms Senator Elizabeth Warren's Q&A at a July 30, 2013 Banking Committee Hearing on "Mitigating Systemic Risk in Financial Markets through Wall Street Reforms." Panelists include Mary Jo White, Chair, Securities and Exchange Commission and Gary Gensler, Chairman, Commodity Futures Trading Commission....» 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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