Insider Trading Buddies Nailed by ... Metrocards?

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The Compliance Exchange News Alert September 24, 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 Insider Trading Buddies Nailed by ... Metrocards?  Here's a delightful piece of regulatory police work. The Securities and Exchange Commission brought a case today against Lawrence Robbins, a former accountant and current independent film producer who seems to have funded his films by insider trading ahead of corporate takeovers.   Continue to article  JPMorgan Chase, 12 More Banks Said to Be Sued Over Libor JPMorgan Chase & Co., Barclays Plc, Credit Suisse Group AG and 10 other international lenders were sued by a U.S. credit union regulator alleging they illegally manipulated benchmark Libor interest rates.   Continue to article  Tipster was played now he pays She "played him like a finely tuned piano" and now the feds are putting the screws to him.   Continue to article  Sponsored by:   Regulatory Inquiries Compliance Associate Job Description   Please Click Here for More Information Sponsored by: Please Click Here for More Information Bharara Takes Bank of America to Court Over 'The Hustle' Tuesday, The Hustle goes on trial.   Continue to article  SEC CHAIR MARY JO WHITE: We Have A 'Renewed Focus' On One Specific Area Of Enforcement Rules and regulations for the day.   Continue to article  Bank Of America Goes To Trial Over Mortgage Fraud Charges Bank of America Corp heads to trial this week over allegations its Countrywide unit approved deficient home loans in a process called "Hustle," defrauding Fannie Mae and Freddie Mac, the U.S. government enterprises that underwrite mortgages.   Continue to article  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  Saddle River Valley Bank Pays $8.2 Million for Laundering  Saddle River Valley Bank, a community bank in New Jersey, will pay $8.2 million to settle claims that it violated anti-money-laundering laws by processing $1.5 billion in suspicious transactions, U.S. authorities said.   Continue to article  Compliance Roundup More than a dozen firms that produce fake online reviews of businesses agreed to stop the practice under a settlement with New York Attorney General Eric T. Schneiderman, who called the scam "Astroturfing."   Continue to article  WHISTLEBLOWER: Banks May Be Laundering Poker Money  A banker who stood up against an online gambling operation was the star of an anti-money-laundering conference in Las Vegas on Monday.   Continue to article  Sponsored by: Please Click Here for More Information on our Advertisers New Rules & Regulations 9/24/2013 New rules and regulations of the day.   Continue to article  17 Things You Should Never Say to Your Boss "Leave me alone!" I said it to my boss at Radio Disney many years ago.   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 New York attorney general labels early data releases "insider trading 2.0" 09-24-2013 14:00:00 PM New York attorney general labels early data releases insider trading 20: In his harshest words......» Settlement talks between JPMorgan, DOJ resume 09-24-2013 13:55:00 PM Settlement talks between JPMorgan, DOJ resume: Settlement talks between the U.S. Justice Department......» TD Bank Pays $52.5 Million In Charges Tied To Ponzi Scheme 09-24-2013 13:40:00 PM TD Bank Pays $52.5 Million In Charges Tied To Ponzi Scheme: WASHINGTON (AP) - TD Bank is paying......» These are the skills you need to get a $173,000 job as the NSA's privacy officer 09-24-2013 13:40:00 PM These are the skills you need to get a $173,000 job as the NSA's privacy officer: Do you have a......» New York Attorney General Busts 19 Companies For Writing Fake... 09-24-2013 12:30:12 PM New York Attorney General Busts 19 Companies For Writing Fake Yelp Reviews New York State Attorney Eric Schneiderman By 2014, one out of every ten online product reviews will be "fake," posted by people who have been secretly paid to write them, says market research firm Gartner....» Workaholics on the wagon 09-24-2013 11:15:00 AM By 3pm every day, Michele used to feel mentally and physically exhausted. Rather than pause to......» SEC turns up the heat... 09-24-2013 11:07:04 AM SEC turns up the heat... : jdsupra-law-news: The U.S. Securities and Exchange Commission has......» 21 Examples Of Floyd Mayweather Flaunting His Insane Wealth 09-24-2013 10:11:18 AM Floyd Mayweather Jr. is the highest-earning athlete in the world. When all is said and......» The 15 Best GIFs From NFL Week 3 09-24-2013 09:12:43 AM Week three of the NFL season is nearly over. While we wait for the Monday Night Football game,......» Free arts and culture this week in New York City 09-24-2013 08:02:00 AM Free arts and culture this week in New York City: Think you have to be a swell to soak up cultural......»    A Tale Of Two Paychecks; Ralph Lauren Makes 1,900 Times More Than You And The SEC Thinks You Should Know  09-24-2013 07:58:00 AM A Tale Of Two Paychecks; Ralph Lauren Makes 1,900 Times More Than You And The SEC Thinks You Should......» 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

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