Uh oh. No one is tracking these trading errors

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The Compliance Exchange News Alert August 22, 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 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 Uh oh. No one is tracking these trading errors    Many of the trades that Goldman Sachs erroneously placed through the New York Stock Exchange, the CBOE and Nasdaq have been or are in the process of being cancelled by the exchanges.   Continue to article  Consumer Watchdog Says It's Launched Investigations Into Sketchy Mortgage Servicing    The U.S. consumer watchdog said on Wednesday it has found problems with mortgage servicing at banks and other financial firms, and in some cases has launched investigations for possible enforcement actions.   Continue to article  SEC's JPMorgan probe threatens cozy tradition of "client hires"    The U.S. government's bribery investigation into JPMorgan's employment of at least two Chinese bankers has prompted banks and other corporations across the globe to take a close look at their hiring practices.   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 Goldman Sachs' Massive Trading Error Bears A Scary Resemblance To The One That Brought Down Knight Capital    Now that we know more about yesterday's options trading error could cost Goldman Sachs hundreds of millions, we know that it looks a lot like another massive trading mistake - Knight Capital's $450 million trading glitch from 2012.   Continue to article  CFPB discovers lingering servicing compliance issues    Some bank and nonbank servicers continue to fall short of compliance expectations, the Consumer Financial Protection Bureau said Wednesday.   Continue to article  Why I'm Voting for Eliot Spitzer  Well I'm not actually voting for Eliot Spitzer since I live in New Jersey.   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  Compliance Roundup   The U.S. Federal Reserve will appeal a judge's decision that its rules on debit-card transaction fees were illegal, a lawyer for the central bank said during a court hearing in Washington.   Continue to article  Grand Juror Indicted After Tipping Off Ponzi Schemer    A federal grand juror is facing criminal charges after he allegedly disclosed details regarding the investigation and indictment of a suspected Ponzi schemer to a witness during a chance encounter at a local Costco - which resulted in the witness tipping off the fraudster.   Continue to article  Sponsored by: Please Click Here for More Information SEC Is Set to Propose New Rule on CEO Pay  The Securities and Exchange Commission will soon thrust CEO compensation back into the spotlight when it proposes a long-delayed rule requiring companies to disclose the pay gap between chief executives and rank-and-file employees.   Continue to article  FBI Is Looking Into Possible Criminal Charges Against Individuals At JPMorgan  The Federal Bureau of Investigation is looking into the possibility of leveling criminal charges against individuals at JPMorgan Chase, an unnamed source told Bloomberg News.   Continue to article  Sponsored by: Please Click Here for More Information Sponsored by: Please Click Here for More Information Wells Fargo To Cut 2,300 Mortgage Servicing Jobs  Wells Fargo & Co , the largest mortgage lender in the United States, will cut 2,300 jobs in its home loan business because fewer customers are refinancing as interest rates rise, according to an internal memo reviewed by Reuters.   Continue to article  Banks start courting Twitter to land rich IPO biz  Wall Street IPO-tweet-stakes have begun.   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 Nasdaq Market Halts Trading A problem at the Nasdaq stock market... 08-22-2013 13:05:42 PM Nasdaq Market Halts Trading A problem at the Nasdaq stock market halted trading in all Nasdaq-listed stocks on Thursday, including major names like Apple and Microsoft. Nasdaq sent out an alert at 12:14 p.m. on Thursday telling traders that it was "halting trading in all" stocks listed on the Nasdaq exchange "until further notice."...» The Most Memorable Facial Hair in Sporting History 08-22-2013 13:01:39 PM Rollie Fingers, Waxed Handlebar Hall of Fame reliever Rollie Fingers originally grew his......»   Rolls Royce Goes Guerrilla to Sell $284K Wraith This week 08-22-2013 12:54:37 PM Rolls Royce Goes Guerrilla to Sell $284K Wraith This week, the Federal Reserve holds its annual summit in beautiful Jackson Hole, Wyoming. It's cowboy-country, a place many might call 'rustic.' But Rolls Royce sees it as a prime target for an increasingly popular style of guerrilla marketing....» Taylor Swift's Childhood Home Can Be Creepily Yours for $800,000 08-22-2013 12:53:30 PM If you consider yourself the most diehard Taylor Swift fan on this planet, Century 21 Real Estate....» Fall preview 2013: New restaurants and bars in NYC 08-22-2013 12:42:23 PM As temperatures start dipping, New York City's dining scene will begin to heat up. This autumn,......» 30 movies to see this fall 08-22-2013 12:36:53 PM The chill in the air can't come soon enough, because it means the fall movies are here: the......»     Go Back-to-School Shopping Like a Grown-Up 08-22-2013 12:22:57 PM Sure, you're heading to the office not the classroom, but now's still a great time to......» 2014 Ferrari 458 Speciale 08-22-2013 12:07:23 PM If you ask Ferrari, there are too many people who love the 458 Italia but are put off by its......» Why Rand Paul Would Be the Perfect 2016 Foil for... 08-22-2013 10:39:09 AM theatlantic: Why Rand Paul Would Be the Perfect 2016 Foil for Hillary Clinton Rand Paul and Chris Christie's recent verbal tussle has led some to suggest that the men represent opposing poles of a battle for the soul of the Republican Party as they seek to position themselves in advance of the 2016 presidential election....»   Chinese Computer Glitch Causes $3.8 billion in Erroneous... 08-22-2013 07:57:10 AM Chinese Computer Glitch Causes $3.8 billion in Erroneous Trades  China's more than 110 brokerages will come under government scrutiny after Everbright Securities mistakenly made 23.4 billion yuan ($3.82 billion) of buy orders, collectively the biggest erroneous trade in Chinese stock market history....» 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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