Congratulations, You Received a Job Offer; What Should You Do Now?

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The Compliance Exchange News Alert July 24, 2013 Job Spotlight: Surveillance Compliance Officer In connection with regulatory reform under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank"), our client, an Inter Dealer Broker Dealer, intends to establish and operate a facility for the trading of swaps and security-based swaps (a "Swap Execution Facility," or "SEF").    The SEF requires a Surveillance Officer ("SO") who will assume responsibility for conducting the SEF surveillance program that will enable the SEF to comply with the relevant provisions of Dodd-Frank. Additionally, the SO will work with both IT and Market Operations to ensure ongoing adequacy of the surveillance program.   If you are a fit, please get in touch with Michael Tuller - MTuller@ComplianceSearch.com 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 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 Compliance Officer - Dodd-Frank Testing + Swap Dealer + Futures Commission Securities Testing Compliance Officer Bank Testing Compliance Officer  Chief Compliance Officer/ Associate General Counsel - Hedge Fund VP-Counsel Investment Management Compliance Manager Employee Trading and Surveillance    VP Institutional Lending Compliance   Head of Operations/ Chief Compliance Officer  Model Review Fair Lending: Compliance Analyst and Manager Analytics Fair Lending: Compliance Risk Analyst Portfolio Management and Trading Surveillance Compliance, AVP Director, Head of Investment Advisory Compliance VP, Portfolio Management and Trading Surveillance   Sponsored Compliance Jobs  If you are interested in posting your position on our newsletter and blog please click here for more information 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 Anti-Money Laundering Consultant-3 Month Contract Opportunity in New York with Navigant Senior Compliance Consultant in San Francisco, California with Gordian Compliance Solutions, LLC Senior Counsel and Compliance Manager in New York with Patriarch Partners, LLC Senior Compliance Officer in St. Louis, Missouri with NISA Investment Advisors, L.L.C Sr. Compliance Associate in NY with R.J. O'Brien & Associates LLC   Sponsored By:    Click here for more details Sponsored By:    Click here for more details Congratulations, You Received a Job Offer; What Should You Do Now?    After more than a dozen interviews conducted over the course of four months, human resources has informed you that the firm is ready to prepare an offer.   Continue to article  Compliance Roundup   Enforcement lawyers at the U.S. Commodity Futures Trading Commission have circumvented formal agency votes to begin investigations unilaterally, according to Scott O'Malia, a Republican member of the commission.   Continue to article  Tourre Lawyers Focus on Reliability of Federal Witness    More than six years ago, Gail Kreitman contacted a former colleague to pitch a new debt investment that her employer at the time, Goldman Sachs, was putting together.   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 Elizabeth Warren Wants To Take This Goldman Sachs Aluminum Story And Run Right Over Wall Street With It    When the Securities and Exchange Commission accused Steve Cohen of failing to reasonably supervise employees at his hedge fund who the government says engaged in insider trading, a spokesman for SAC Capital said the charge has "no merit."   Continue to article  New Rules & Regulations 7/24/2013    New rules and regulations for the day.   Continue to article  Sponsored by: Please Click Here for More Information Tourre to Break Silence Testifying at SEC Trial Over CDO  Fabrice Tourre, the former Goldman Sachs Group Inc. (GS) vice president facing civil fraud claims over a mortgage bond debacle that made his client $1 billion, may say when he takes the witness stand today that he's a scapegoat who was only trying to do his best for the firm.   Continue to article  Workers hoping for a pay raise may have to settle for another year of belt-tightening    A new survey of 1,500 U.S. companies from consulting firm Mercer found that employers expect to increase worker salaries by an average 2.9 percent in 2014, up just slightly from 2.8 percent raises this year.   Continue to article  IRS delays shuffle FATCA deck for institutions, companies worldwide - See ACFCS chart  The delays, announced by the US Internal Revenue Service on July 12, 2013, in certain FATCA implementation dates have caused minor global tremors as thousands of institutions and corporations scramble to recalibrate the rhythm of their FATCA compliance efforts - or to find ways around the strictures of the landmark law.   Continue to article  Sponsored by: Please Click Here for More Information Sponsored by: Please Click Here for More Information Sponsored by: Please Click Here for More Information Royal Bank of Scotland fined £5.6m for failing to properly report over a third of transactions  between November 2007 and February 2013; and failed altogether to report 804,000 transactions between November 2007 and February 2012.   Continue to article  Deutsche Bank Will Shoot Itself In The Foot To Avoid Giving International Regulators The Pleasure    Nobody can boost their leverage ratio with steely determination and cold efficiency like a German.   Continue to article  European Banks Face Capital Gap With Focus on Leverage  Europe's biggest banks, which more than doubled their highest-quality capital to $1 trillion since 2007 to meet tougher rules, may have further to go as regulators scrutinize how lenders judge the riskiness of their assets.   Continue to article  Sponsored by: Please Click Here for More Information Sponsored by: Please Click Here for More Information Sponsored by: Please Click Here for More Information Now Trending at the Executive Gateway The 6 Shoes That Will Last a Lifetime Everything has a top... 07-24-2013 15:34:43 PM The 6 Shoes That Will Last a Lifetime Everything has a top shelf-that's why Dom Pérignon, Aston Martins, and Jennifer Lawrence all exist-and this is the top shelf of dress shoes. Feast your eyes (and your wallets) on the six best hunks of tanned hide that money can buy..» Right now, Larry Summers is the front-runner for Fed chair 07-24-2013 15:32:00 PM Right now, Larry Summers is the front-runner for Fed chair The word among Federal Reserve watchers right now is that the choice is down to Janet Yellen or Larry Summers as Ben Bernanke's replacement. ...»   Game of Desks - Late Night With Jimmy Fallon 07-24-2013 14:59:29 PM Game of Desks - Late Night With Jimmy Fallon...» Best Home Sales in Five Years Signal U.S. Building Gain Sales... 07-24-2013 14:51:27 PM Best Home Sales in Five Years Signal U.S. Building Gain Sales of new U.S. homes rose in June to the highest level in five years, pointing to gains in residential construction that will support the economic expansion in the second half of the year....»   Watch Fiona Apple's music video for 'Hot... 07-24-2013 14:48:29 PM Watch Fiona Apple's music video for 'Hot Knife' Beyond a report of her arrest on drug charges in Texas and a letter she posted on Facebook about her ailing dog, we haven't heard much from Fiona Apple since the release last year of her excellent comeback album "The Idler Wheel..." That changed early Wednesday, though, with the appearance online of a new music video for "Hot Knife," the elaborately harmonized number that closes "The Idler Wheel..." with a Broadway-style flourish. ...»   Executive Fight Night 07-24-2013 14:35:01 PM Executive Fight Night...»   Bentley Preparing Most Expensive Ultra-Luxury SUV 07-24-2013 11:17:00 AM Bentley Preparing Most Expensive Ultra-Luxury SUV...»   Weiner: Not Dropping Out of NYC Race 07-24-2013 07:24:06 AM Weiner: Not Dropping Out of NYC Race - Wall Street Journal...»   Weiner's Wife, Huma, Says She's Forgiven Him07-24-2013 07:23:21 AM Weiner's Wife, Huma, Says She's Forgiven Him - Wall Street Journal...» Criminal Indictment Is Expected for SAC Capital Advisors 07-24-2013 07:22:20 AM Federal authorities are poised to level a criminal indictment against SAC Capital Advisors, the......» 'Walking Dead' market: Why the rally keeps... 07-24-2013 07:19:00 AM 'Walking Dead' market: Why the rally keeps going Call it the Zombie Market, if you will, a staggering, stumbling, somnambulant thing of macabre beauty that sustains slings, arrows and shotgun blasts but still marches forward. Jeff Kleintop, chief market strategist at LPL Financial, is more succinct and culturally aware: He calls it the "Walking Dead" market, after the wildly popular, zeitgeist-y AMC zombie series...» 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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