Wednesday, 7 August 2013

Your Handy-Dandy Pre-Interview Checklist

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The Compliance Exchange News AlertAugust 7, 2013

Provide Compliance coverage to the Fixed Income Commodities and Currencies Group. This role is the primary contact for this critical business, which structures and executes transactions involving various products, mainly FX and currency swaps, and includes providing support for our clients' tax planning in order to deliver commercially-driven tax solutions that are compatible with our purpose as an organization. 

 

For more information and to be considered for this role, please get in touch with Michael Tuller - MTuller@compliancesearch.com and feel free to pass the link along to someone else, as well.

 

Our client, a top-tier Investment Bank, seeks a candidate that will work in close coordination with other Syndicate Compliance officers to provide product advisory compliance coverage, primarily for the firm's Equity Syndicate activities in the U.S. 

 

For more information and to be considered for this role, please get in touch with Michael Tuller - MTuller@compliancesearch.com and feel free to pass the link along to someone else, as well.

 

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Before going on an interview, it's best to know as much as possible about the company and the interviewers. A very common pitfall that candidates make when interviewing is failing to do research about the company.

 

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The Financial Industry Regulatory Authority is examining the way E*Trade Securities prices and sends customer stock orders to an affiliate, E*Trade said in a quarterly regulatory filing on Tuesday.

 

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U.S. regulators got the green light from a federal judge to proceed with their lawsuit against a Texas man accused of running a Ponzi scheme using Bitcoin, the virtual online money system.

 

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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 

 

Bank of America is back in the government's crosshairs.

 

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The IRS targeting scandal is best understood as part of a larger effort to limit the political speech of conservatives and business groups.

 

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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


Question: When is a "whistleblower" not really a "whistleblower"? Answer: When an employee reports potential misconduct only to his or her employer and that employer happens to be located in the Fifth Circuit.

 

Glencore Xstrata and JPMorgan Chase & Co face a U.S. lawsuit alleging they artificially inflated aluminium prices, the second legal challenge related to metal warehousing in a week.

 

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Rules and regulations of the day.

 

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The U.S. Equal Employment Opportunity Commission must pay $4.6 million in attorneys' fees and expenses to CRST, an Iowa trucking company, because of a sexual harassment and discrimination suit that was thrown out.

 

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President Obama hailed both this city's and the country's comeback from the housing bust on Tuesday, and said it was now time to reduce the federal role and risk in the mortgage market "to make sure the kind of crisis we went through never happens again."

 

Four former directors and officers of a failed Wilmette bank were arraigned Tuesday on charges of defrauding the U.S. government, including using $6.8 million from the bank-bailout program to keep an alleged criminal enterprise running.

 

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A surge in currency trading earlier this year and favorable regulatory treatment of the foreign exchange business have unleashed an intense fight on Wall Street, with banks battling one another for a larger share of an increasingly fractured market.
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