| | | The Compliance Exchange News Alert | September 26, 2013 |
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Top-tier investment bank seeks a compliance or legal professional to stay abreast of all new regulatory developments and ensure that the company is adopting appropriate internal policies, procedures to address the regulatory changes.
He/She will also design policies, procedures, and educate management and executives as to new regulatory initiatives and what actions the firm must take.
The bank would prefer an attorney from a law firm with solid working knowledge of regulations and regulatory agencies.
The position is with a newly created global regulatory unit. 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. |
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|  Banks should make anti-money laundering and Bank-Secrecy-Act compliance a part of performance reviews and compensation plans, a top regulator said at a conference Wednesday. |
 Citigroup Inc on Wednesday said it agreed to pay $395 million to Freddie Mac to resolve claims of potential flaws in roughly 3.7 million mortgages it sold to the housing finance company from 2000 to 2012. |
 JPMorgan Chase & Co is in talks with government officials to settle federal and state mortgage probes for $11 billion, two people familiar with the matter said on Wednesday. The sum could include $7 billion in cash and $4 billion for consumers, said the sources, who asked not to be identified because the negotiations are private. |
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 ICAP Plc Chief Executive Officer Michael Spencer said the behavior of three former brokers charged by U.S. prosecutors for manipulating Libor is "profoundly regrettable." "I share with you your horror and disgust," Spencer, 58, said on a call with journalists today. "I regret this whole episode very deeply and very profoundly. A small number of people have let us down very, very badly." |
 Major banks are beefing up compliance staff, but a new survey suggests there's a widespread shortage of qualified professionals to fill some of those roles. |
 Both the Securities and Exchange Commission and JPMorgan Chase won great public relations victories last week. But the public lost - and in ways that go far beyond this one spat. |
 Interdealer brokerage ICAP was fined $87 million on Wednesday for colluding with traders to manipulate Libor, a key interest rate used by banks for short-term lending. Three former employees - Darrell Read, Daniel Wilkinson and Colin Goodman - were also criminally charged by the U.S. Department of Justice with two counts of wire fraud and conspiracy to commit wire fraud. |
 Britain said on Wednesday that it had filed a lawsuit at the European Court of Justice contesting a proposed cap on bankers' bonuses. |
 One year into a scheme to help a key client manipulate yen Libor rates, Mr Goodman, who dubbed himself "Lord Libor", wanted more, US and UK authorities alleged in court papers. |
 Steven A. Cohen's SAC Capital Advisors hedge fund has posted strong returns so far this year even as it deals with a criminal indictment charging the $14 billion fund with being a breeding ground for insider trading. |
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When: Sun, September 29, 5pm - Tue, October 1, 6pm
Where: Renaissance Washington, DC Downtown Hotel ,Washington, D.C Compliance deadlines are around the corner and by now your organization is knee deep in preparing to implement new rules. Make sure you have a solid understanding of what will be enforced in a few short months. To efficiently build policies and procedures to comply with new rules and requirements, you must first become an expert on what lies ahead. Get in the center of it all in our nation's Capitol and attend MBA's Regulatory Compliance Conference 2013 to hear directly from regulators, lawmakers and industry experts to get the timely information you need as our industry braces for January 2014. Don't let piles and piles of new rules overwhelm you. Take control and get the information you need to meet compliance deadlines. For More Details Read Here |
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