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Sr Compliance Officer (4-7-9-10-24-63 Licenses) seeks job with Medium/Large Global Firm in NY Metro area. Experience: Institutional, Retail, Trade Desks (Options, Equity, FI, Cap Mkts Products), E-Comm., Reg'y Exams, People Manager, Send Inquiries, Contact Info for candidate through Howard@Compliance-Insights.com.
Well-known NY-based Global Trading House needs full-time Compliance Officer for Futures and Commodities. Reqs: 5-7 years, Series 14-24-27-63 Licenses, Working Knowledge of Regs, Practices of SEC, FINRA, CFTC, NFA, & Major Exchanges. Cover & Resume to Recruiter: firstname.lastname@example.org
Sunday, May 19th, 2013
For the Week Ended 5/10/13 C-I FINANCIALS 767 up 20 + 2.7% DJIA 15,118 up 286 + 1.9% NASDAQ 3,437 up 96 + 2.9% S&P 500 1,634 ...READ FULL STORY
[ by Howard Haykin ] The SEC announced on Thursday that Bruce Karpati, chief of the Enforcement Division’s Asset Management Unit, is leaving for the private sector. He's put in more than a dozen years of federal service. Deputy chiefs Julie ...READ FULL STORY
[ by Howard Haykin and Melanie Gretchen ] JPMorgan Chase stands accused of devising “manipulative schemes” that transformed “money-losing power plants into powerful profit centers,” and the head of its commodities business reportedly gave “false and misleading statements” under oath. The findings ...READ FULL STORY
Prosecutors Seek 19-1/2 Year Prison Term for One Banker; Defense Lawyer Outraged. [ by Howard Haykin ] U.S. prosecutors are asking for record prison terms for three former UBS AG bankers convicted of conspiring to deceive U.S. municipalities by scheming to ...READ FULL STORY
Departing Employee Charged With Stealing Sensitive Bank Property.. [ by Melanie Gretchen ] A former Vice President with Credit Suisse AG introduced a new meaning to the term, "working vacation." According to a complaint filed by Credits Suisse, the emerging markets group ...READ FULL STORY
Washington, D.C. Players Being Probed. [ by Melanie Gretchen ] Joined by the FBI and the U.S. Department of Labor, the SEC has issued subpoenas as part of a wider probe into a possible leak of a 4/1/13 decision on government payment ...READ FULL STORY
It would be safe to say there's a lot of money on the sidelines waiting for investments that have the potential to produce dramatic returns. [ by Howard Haykin ] Stocks continue to produce tremendous returns in 2013, but most investors remain ...READ FULL STORY
Will JPM Shareholders Vote to Clip Dimon's Wings? If So, Will the Board Comply with the Shareholders' Mandate? [ by Melanie Gretchen and Howard Haykin ] JPMorgan Chase directors are still chasing after the bank's largest shareholders – BlackRock, Vanguard, and Fidelity ...READ FULL STORY
Speech by SEC Chair Mary Jo White. [ by Howard Haykin ] Eighteen days into her tenure as Chair of the SEC, Mary Jo White delivered a speech at the Annual Meeting of the Investment Company Institute (ICI) – national organization that ...READ FULL STORY
[ by Howard Haykin ] Report coming out of the SEC say that the Agency has internally released the draft version of a new money market fund rule. Staff at the SEC are circulating this long-awaited draft that promises to impose ...READ FULL STORY
[ by Melanie Gretchen ] High-frequency traders face speed limits on a major trading platform for the very first time that threaten their domination of the markets. The proposed limitations seem so effective in leveling the playing field that many market ...READ FULL STORY
[ by Melanie Gretchen ] FINRA late last week proposed to change the implementation date of a rule governing trading activity. For FINRA's full story, continue reading or click the link below. SR-FINRA-2013-021 FOR IMMEDIATE EFFECTIVENESS 5/2/13 FINRA proposes this rule change to establish 9/3/13 ...READ FULL STORY
[ by Melanie Gretchen ] Three bankruptcy lawyers from Cadwalader Wickersham's New York and Washington offices switched firms, going to L.A.-based O'Melveny & Meyers. John Rapisardi and George Davis, who had served as co-chairs of Cadwalder's bankruptcy practice, made the move, ...READ FULL STORY
[ by C-I Staff ] Steptoe & Johnson. Jason Weinstein, former deputy assistant AG of the Justice Department's Criminal Division, joined as partner in these Washington office practice groups: (i) white collar criminal defense; and, (ii) privacy and data security. Bracewell & ...READ FULL STORY
[ by Melanie Gretchen ] The head of JPMorgan's agency mortgage-backed securities pass-through desk – Erik Bisso – was named by the bank as its new Chief Investment Officer for North America. He replaces Irene Tse who left the bank last ...READ FULL STORY
[ by Melanie Gretchen ] Robert E. Diamond, Jr., former CEO of Barclays – you might not recognize him at first glance these days. For one thing, he's living again in New York City. He commutes to work by subway. And ...READ FULL STORY
Discussion Veers Very Quickly to the JPMorgan Proxy Vote on Jamie Dimon. [ by Howard Haykin ] Just for the record, and in case anyone cares, the Hess Corporation announced Friday that it would separate its chairman and chief executive roles, hoping ...READ FULL STORY
Steven Cohen's New Concept Merits Another Look. [ by Melanie Gretchen and Howard Haykin ] SAC Capital founder Steven Cohen went to the mount and experienced an epiphany: the best way to punish rogue traders and managers is to hit them where ...READ FULL STORY