Money Laundering Among Regulators' Top Priorities

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The Compliance Exchange News Alert September 3, 2013 Job Spotlight: VP - Fixed Income Sales and Trading Compliance Our client, a major global investment bank seeks a Fixed Income Sales and Trading Compliance Officer. This position will be at a Vice President level or higher. The ideal candidate will be responsible for providing compliance advisory support to the Rates Sales and Trading Desks, as well as assistance with the Fixed Income Finance business area.   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 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 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   Sponsored Compliance Jobs  If you are interested in posting your position on our newsletter and blog please click here for more information 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 Money Laundering Among Regulators' Top Priorities    Anti-money laundering policies were identified by both FINRA and the SEC as a top priority for examinations of broker-dealers in 2013. In its exam guidance, FINRA noted "an increase in foreign currency conversion transactions."   Continue to article  Woman Offered to Pay Hit Man in Rare Stamps to Whack Out-of-Work Chief Compliance Officer Husband    A Manhattan housewife has been arrested for trying to hire a hit man for $60,000 worth of rare postage stamps and jewelry to kill her unemployed husband following a dispute over money, DNAinfo New York has learned.   Continue to article  Ex-Goldman Trader Fined $500,000    A former Goldman Sachs trader who pleaded guilty in a criminal case earlier this year to fabricating huge positions to protect his bonus agreed on Friday to pay a $500,000 fine in a related civil matter.   Continue to article  Sponsored by: Senior Anti-Money Laundering Compliance Position in California   Please Click Here for More Information Expert networks: thriving in Asia, away from U.S. scrutiny    Expert networks - a matchmaking service linking investors such as hedge funds with company insiders - are under scrutiny from regulators in the United States, but are expanding across Asia, where the market for corporate intelligence is less transparent.   Continue to article  Former Chinese Railroad Official Indicted on Bribery Charges  A former high-ranking Chinese railroad official, whose daughter's employment at JPMorgan Chase is a focus of an anti bribery investigation in the United States, has been formally indicted on bribery charges in a Beijing court.   Continue to article  New Rules & Regulations 9/3/2013  Compliance rules and regulations of the day.   Continue to article  Sponsored by: Please Click Here for More Information on our Advertisers SEC Wants You To Admit Wrongdoing-And It Will Cost You    These days the SEC wants some defendants not merely to pay, but also to admit guilt. Admitting guilt in a civil case rubs many defendants the wrong way. Besides, it is an about-face from the SEC's longstanding practice of settling civil litigation without requiring the defendant to admit wrongdoing.   Continue to article  Compliance Roundup Swiss banks that seek to avoid prosecution for fostering tax evasion through secret accounts held by U.S. clients face penalties of as much as 50 percent of the value of those assets, the U.S. government said.   Continue to article  Sponsored by: Please Click Here for More Information Compliance Around The World 9/3/2013 International Compliance News & Jobs;    Articles -Dutch Bank ABN Amaro Takes Steps Toward an I.P.O -All Eyes on Qatar, Al Jazeera's Money Machine -Indias New Central Bank Governor to Step Into Eye of Rupee Storm    Jobs -Control Room Compliance Officer     Continue to article  Sponsored by: Please Click Here for More Information Banks face new set of capital rules    Banks face being hit with a new set of international capital rules aimed at forcing bondholders rather than taxpayers to bail out failing institutions.   Continue to article  JPMorgan Is Fighting 43 Lawsuits That Could Cost It Almost $7 Billion    Once renowned as one of the most reputable firms on Wall Street, JPMorgan has lately been spending more time dealing with legal rather than financial matters.   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  Now Trending at the Execuitve Gateway Vintage Rolls Royce shimmers with 1,000,000 Swarovski crystals 09-03-2013 11:50:58 AM Miami's premier luxury item creator has just outdone itself. Upscale buyer and seller of jewelry......»    The Week in Style: 8.30.13 09-03-2013 11:47:37 AM The most terrible pants we've seen all year, the one thing you should wear before summer ends,......»     This Is The Burning Man 09-03-2013 11:44:03 AM Burning Man is a week-long temporary community annually established "to guide, nurture and......»      Life on Minimum Wage Around the World 09-03-2013 11:37:25 AM Last week, fast food workers around the United States went on strike in 60 different cities, asking......»   'It's just a very tough job market' 09-03-2013 11:34:00 AM 'It's just a very tough job market': Millions of Americans are off from work this Labor Day. But......»   Lawyers at top City firm 'earning minimum £1.3m a year' 09-03-2013 11:22:06 AM Partners at the City's most profitable law firm are earning a minimum of £1.3m a year, according to......»    FALL MOVIE PREVIEW 2013 09-03-2013 11:17:22 AM All isn't lost. It's fall, when undumb movies push through the din of summer idiocy,......»    Most of the jobless also are childless 09-03-2013 11:09:16 AM Parents, whether they're single or married, are far less likely to be among the long-term......»   Morgan Stanley to Tiny Exchanges: Justify Your Existence 09-03-2013 11:05:00 AM Morgan Stanley to Tiny Exchanges: Justify Your Existence:  Forget too big to fail, some stock......»     First Ever High Frequency Trading Transaction Tax Introduced In Italy 09-03-2013 11:03:11 AM Nearly four years after Zero Hedge first suggested an HFT tax should punish algos that......»   Lie to your boss, get fired. Lie to the Chief Compliance Officer? 09-03-2013 10:54:37 AM Lie to your boss, get fired. Lie to the Chief Compliance Officer?: jdsupra-law-news: The SEC......» Spotlight: Upcoming Conference Alert  Financial services firm UBS AG on Wednesday announced it will consolidate back office functions in Nashville, creating 1,000 jobs in the city over the next five years.   Continue to article  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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