Swiss Lawyer Pleads Guilty, Helps in U.S. Tax Probe

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The Compliance Exchange News Alert August 16, 2013 Job Spotlight: Compliance Document Negotiator Our client, a top-tier financial services firm, is looking for an experienced document negotiator to join the New York Legal Department to prepare, negotiate and bring to execution various market documentation activities, including derivatives, repurchase and securities lending transactions. Counterparties will include operating businesses, hedge funds and financial institutions   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. 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 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 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 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 Swiss Lawyer Pleads Guilty, Helps in U.S. Tax Probe    A Swiss lawyer pleaded guilty in a U.S. probe of offshore tax evasion and has been telling prosecutors how he helped American clients use secret accounts to hide assets from the Internal Revenue Service.   Continue to article  The Simple Argument The JP Morgan 'London Whale' Traders Could Use To Stay Out Of Jail    There are two main things law enforcement and lawyers are thinking about in the case of the two former JP Morgan traders accused of trying to hide the 'London Whale' trading loss - first, how to get them to the U.S., and then, how to defend them once they get here.   Continue to article  Goodbye Switzerland, Hello Bitcoins    Bitcoins are everywhere. Last week, a federal judge in Texas held that the virtual currency qualifies as a form of money and allowed the SEC to charge a promoter of a scheme to invest in bitcoins with violations of the federal securities laws.   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  The FBI Manipulated Some Penny Stocks    The SEC announced securities fraud charges against a fairly random assortment of South Florida crooks yesterday and the message I took away from the assorted complaints is that it'd be a lot of fun to work in the South Florida office of the FBI.   Continue to article  Compliance Roundup    The U.S. government urged General Motors Co. (GM) to improve pensions of some Delphi Automotive Plc (DLPH) union retirees while cutting those of salaried workers to help ensure a speedy emergence from a GM bankruptcy, the watchdog of the Troubled Asset Relief Program said.   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 BofA Charged by the SEC for Failing to Disclose Important Mortgage Details to Investors   The Securities and Exchange Commission today charged Bank of America and two subsidiaries with defrauding investors in an offering of residential mortgage-backed securities (RMBS) by failing to disclose key risks and misrepresenting facts about the underlying mortgages.   Continue to article  Wanted: Scandal-Free Candidate for Israel Central Bank  U.S. President Barack Obama isn't the only world leader trying to replace a prominent central banker amid public controversy. Israeli Prime Minister Netanyahu is having an embarrassingly hard time finding a successor to Stanley Fischer, who left office June 30 with several months of notice.   Continue to article  Will The Charges Against JPMorgan's Former Traders Help Reform Wall Street?  The federal government charged two former JPMorgan Chase JPM -1.59%employees, Javier Martin-Artajo and Julien Grout, for their involvement in a multi-billion dollar loss at the bank last year.   Continue to article  Sponsored by: Please Click Here for More Information Sponsored by: Please Click Here for More Information Premarket: Wall Street selloff halted, but Fed worries remain    U.S. stocks are set to claw back some of their losses on Thursday, when the S&P 500 suffered its biggest one-day decline since June 20, but upside momentum this morning is a little underwhelming.   Continue to article  SEC approves ICE's planned takeover of NYSE    The Securities and Exchange Commission has approved IntercontinentalExchange Inc's proposed takeover of NYSE Euronext, according to an August 15 regulatory filing posted on the agency's website Friday.   Continue to article  Credit Suisse moving tech banking head Wah to Silicon Valley  Credit Suisse Group AG is moving the global co-head of its technology, media and telecom group to San Francisco from New York, bolstering its Silicon Valley investment banking presence in anticipation of more deals in the sector, two sources familiar with the move said on Thursday.   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 Aug 16, 1958: Madonna born On this day 08-16-2013 14:01:38 PM Aug 16, 1958: Madonna born On this day in 1958, Madonna Louise Ciccone, the entertainment icon later known around the world by her first name only, is born near Detroit, Michigan...» Aug 16, 1977: Elvis Presley dies  08-16-2013 13:58:03 PM Aug 16, 1977: Elvis Presley dies Popular music icon Elvis Presley dies in Memphis, Tennessee. He was 42. The death of the "King of Rock and Roll" brought legions of mourning fans to Graceland, his mansion in Memphis. Doctors said he died of a heart attack, likely brought on by his addiction to prescription barbiturates....» Aug 16, 1948: Babe Ruth dies 08-16-2013 13:53:31 PM   Aug 16, 1948: Babe Ruth dies   On August 16, 1948, baseball legend George Herman "Babe" Ruth dies from cancer in New York City. For two days following, his body lay in state at the main entrance to Yankee Stadium, and tens of thousands of people stood in line to pay their last respects. He was buried in Hawthorne, New York....»   Floyd Mayweather vs. Canelo Alvarez: Live on SHOWTIME PPV 08-16-2013 13:40:48 PM Floyd Mayweather vs. Canelo Alvarez: Live on SHOWTIME PPV...» Oh, Lord! $4M fine & US ban 08-16-2013 12:10:29 PM The Securities and Exchange Commission yesterday banned former press baron Conrad Black from....» Straphanger sits inches above deadly third rail in East Village 08-16-2013 12:06:44 PM This could have been a major buzz kill.A drunk straphanger picked a deadly place to grab a seat at......» Infighting hits Snowden camp as it's revealed NSA leaker... 08-16-2013 12:02:48 PM Infighting hits Snowden camp as it's revealed NSA leaker began downloading sensitive files a year earlier than previously thought Former intelligence contractor Edward Snowden began downloading documents describing the US government's electronic spying programs while he was working for Dell Inc. in April 2012, almost a year earlier than previously reported, according to US officials and other sources familiar with the matter. ...» Micro-Apartments Not Actually All That Affordable 08-16-2013 11:54:39 AM "We must develop a new, scalable housing model that is safe, affordable and innovative to meet......» Is there such a thing as a "workaholic"? 08-16-2013 11:52:55 AM Is there such a thing as a "workaholic"? When the American psychologist Wayne Oates died in 1999, The New York Times began his obituary by noting two facts. First, the man had authored an astonishing 57 books. Second-and presumably not coincidentally-he had invented the word workaholic. ...»   Porsche teaches us how to drive at the Porsche Sport Driving... 08-16-2013 11:49:27 AM Porsche teaches us how to drive at the Porsche Sport Driving School Sports cars are brilliant fun. They offer the best handling, the fastest acceleration, the prettiest looks, and the most credibility on the road. But what use is all of that if you can't tame the beast? This is where places like the Porsche Sport Driving School come in really handy....» Wall Street slides on Fed angst, Wal-Mart disappointment  US... 08-15-2013 15:54:00 PM Wall Street slides on Fed angst, Wal-Mart disappointment  US stocks fell by their most since late June on Thursday as investors fretted the Federal Reserve would soon start to scale back its stimulus and as corporate earnings showed that consumer spending remained weak. New claims for jobless benefits fell to a near six-year low last week, consumer prices rose broadly in July and homebuilder confidence rose, which could draw the Fed closer to trimming its $85 billion monthly bond-buying program....» 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 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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