ICAP to Pay $87 Million Fine in Libor-Fixing Case

Having trouble viewing this email? Click here

The Compliance Exchange News Alert September 25, 2013 Job Spotlight: Investment & Wealth Management Compliance Officer Our client, a top-of-the-line financial services firm, is seeking an individual to become a Compliance Officer responsible for assisting senior Investment Management and Wealth Management Compliance Managers with firm regulatory filings, drafting policies and procedures for compliance with SEC and FINRA rules.   For more information and to be considered for this role, please get in touch with Jack Kelly - JKelly@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 Fixed Income Sales and Trading Compliance Core Compliance - Private Bank Investment & Wealth Management Compliance Officer Regulatory Developments, Policy & Training Compliance Market Risk - Investment Bank Investment Banking Compliance Analyst Vice President Compliance Risk, Monitoring & Testing Fund Management Assistant- Portfolio Management Regulatory Inquiries Compliance Associate RIA Compliance Officer - Banking and Brokerage Compliance / Paralegal Associate, Loan Documentation Specialist Internal Audit & Risk Assessment - VP Control Room Surveillance Manager - VP VP - Fixed Income Sales and Trading Compliance Compliance Officer OFAC and Sanctions AVP Global Regulatory Developments VP- Investment Bank Compliance Analyst - Forensic Testing Compliance Asset Management / Broker-Dealer Assistant Manager Regulatory Inquiries Commodities Compliance Officer Senior Regulatory Inquiries Analyst 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 Sponsored Compliance Jobs  If you are interested in posting your position on our newsletter and blog please click here for more information Compliance Administrator with Kayne Anderson Rudnick Investment Management in Los Angeles, California Senior Compliance Administrator - Testing & Monitoring in California with Toyota Financial Services Counsel - Compliance in California with Toyota Financial Services Corporate Senior Internal Auditor in California with Toyota Financial Services Associate - Compliance and Operations in Fort Lee, NJ with Pathstone Family Office 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 information on our advertisers ICAP to Pay $87 Million Fine in Libor-Fixing Case  American and British regulators fined the financial firm ICAP a combined $87 million on Wednesday for its role in the manipulation of the benchmark interest rate known as Libor, making it the fourth major financial company to reach a settlement in the global investigation.   Continue to article  J.P. Morgan's Legal Headaches: A Tally J.P. Morgan has had its fill of legal headaches.   Continue to article  Some traders got 'no taper' decision news earlier In the wake of an unusual trading pattern after the Federal Reserve's decision to continue economic stimulus last week, Fed officials have contacted certain news organizations to discuss rules and procedures for the central bank's advance release of sensitive information, CNBC has learned.   Continue to article  Sponsored by: Senior Anti-Money Laundering Compliance Position in California       Please Click Here for More Information JP Morgan Chase is in talks with a group of Regulatory Agencies discussing a $3 to $7 billion Mortgage Securities related settlement JPMorgan Chase, seeking to avert a wave of litigation from the government, is negotiating a multibillion-dollar settlement with state and federal agencies over the bank's sale of troubled mortgage securities to investors in the run-up to the financial crisis.   Continue to article  U.S. SEC sets zero-tolerance objective for glitches at exchanges Technical glitches and other operational errors at U.S. exchanges cannot be tolerated, given the high-speed, interconnected nature of the markets, the head of the U.S. Securities and Exchange Commission said on Tuesday.   Continue to article  Sponsored by: Please Click Here for More Information Sponsored by: Nuveen Investments is currently looking to add top quality talent to their firm.  Please take a look at the two newest and hottest job openings presented by ComplianceJobs.com    Senior Compliance Analyst - Ethics Office in Chicago, IL Senior Compliance Analyst - Portfolio Compliance in Minneapolis, Minnesota  AIG chief censured by regulators and politicians over race remarks  Robert Benmosche, chief executive of AIG, was condemned by regulators and politicians for claiming criticism of bonuses at the bailed-out insurer was "just as bad" as racist murders in the Deep South.   Continue to article  Bharara Acknowledges That Budget Issues Are Straining His Office When federal prosecutors go after a bank or a hedge fund, they often have to face an all-star team of high-priced lawyers.   Continue to article  Sponsored by: Please Click Here for More Information on our Advertisers A Call for New Laws in New York to Fight High-Tech Crime  New York State, failing to keep pace with technological change and increasingly sophisticated economic crimes, needs to update its laws to help authorities prosecute white-collar wrongdoing, according to a report released on Tuesday by the Manhattan district attorney, Cyrus R. Vance Jr.   Continue to article  Sponsored by: Please Click Here for More Information Sponsored by: Please Click Here for More Information Now Trending at The Wall Street Executive Credit Suisse Said to Weigh Job Cuts in European Equities 09-25-2013 14:03:31 PM Credit Suisse Group AG (CSGN), Switzerland's second-largest bank, may trim jobs at the Europe, Middle East and Africa equities business, three people familiar with the plan said.....» Things Traders Say, ICAP Edition 09-25-2013 12:57:08 PM Things Traders Say, ICAP Edition: Things Traders Say, ICAP Edition...»   AIG chief censured by regulators and politicians over race... 09-25-2013 11:59:30 AM AIG chief censured by regulators and politicians over race remarks Robert Benmosche, chief executive of AIG, was condemned by regulators and politicians for claiming criticism of bonuses at the bailed-out insurer was "just as bad" as racist murders in the Deep South....» Think the Icap Libor Fine Is Small? Think Again In simple terms... 09-25-2013 10:59:23 AM Think the Icap Libor Fine Is Small? Think Again In simple terms the penalty levied on London-based broker ICAP for the alleged participation of some of its staff in rigging the Libor rate is much less than the fines handed down to Barclays, the Royal Bank of Scotland and UBS. ...» The F-type is meant to... 09-25-2013 10:07:31 AM financialtimes: Video: The F-type is meant to help Jaguar reclaim its sports car heritage. Does it do the job? ...» JP Morgan Chase is in talks with a group of Regulatory Agencies... 09-25-2013 08:05:57 AM JP Morgan Chase is in talks with a group of Regulatory Agencies discussing a $3 to $7 billion Mortgage Securities related settlement JPMorgan Chase, seeking to avert a wave of litigation from the government, is negotiating a multibillion-dollar settlement with state and federal agencies over the bank's sale of troubled mortgage securities to investors in the run-up to the financial crisis....» Bank Of America Goes To Trial Over Mortgage Fraud Charges 09-25-2013 07:58:00 AM Bank Of America Goes To Trial Over Mortgage Fraud Charges: NEW YORK (Reuters) - Bank of America......»   Icap staff braced for Libor charges 09-25-2013 07:56:00 AM Icap staff braced for Libor charges: The City firm run by former Conservative party chairman......»   The Fed Is Looking Into Suspicious Trading After Meeting 09-25-2013 07:55:00 AM The Fed Is Looking Into Suspicious Trading After Meeting: WASHINGTON - WASHINGTON...»   AIG CEO: Bonus Uproar 'Just As Bad' As Racist Lynch Mob 09-24-2013 19:49:00 PM AIG CEO: Bonus Uproar 'Just As Bad' As Racist Lynch Mob: Maybe you got angry about AIG paying huge......»   Trading Activity In Wake Of 'No Taper' Announcement Prompts Fed Concern 09-24-2013 19:48:00 PM Trading Activity In Wake Of 'No Taper' Announcement Prompts Fed Concern: WASHINGTON......»   One Trader Apparently Lost Millions Boosting Romney On Intrade 09-24-2013 19:48:00 PM One Trader Apparently Lost Millions Boosting Romney On Intrade: We knew Wall Street loved Mitt......» Spotlight: Upcoming Conference Alert      IA Compliance Fall Conference September 23rd in Philadelphia, CompliancEX Readers save $100 When: September 23, 2013 Where: The Westin Philadelphia in Philadelphia, Pennsylvania   The agenda for IA Watch's 13th Annual IA Compliance Fall Conference taking place September 23rd in Philadelphia is designed to give investment advisers CLE approved executive-level education on the hot topics of the day along with smart best practices your sharpest peers use to comply with their ever-expanding list of duties.  This one day conference will offer 8 strategy-packed sessions focused on SEC exam and enforcement priorities for RIAs, as well as practical solutions to fundamental compliance responsibilities, such as the annual review, compliance testing and marketing. You'll find a faculty of seasoned regulators, plus your savviest peers.  Dodd-Frank Jobs readers save $100!  Simply register by September 13th. Use the code COMPX100 when registering. Register only at  http://www.iawatch.com/conferences/Fall2013/home.html or call our customer concierge at (888)234-7281. alpha. For More Details Read Here 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

Forward email This email was sent to buzzhairs.finance@blogger.com by jackkelly@compliancex.com |   Update Profile/Email Address | Instant removal with SafeUnsubscribe™ | Privacy Policy. CompliancEX | 450 7th Avenue, Suite 1409 | New York | NY | 10123