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Kobe and Compliance
Compliance is one of those fine print realities of working in finance. I can't count the amount of times a future monkey's excitement was dashed to dust at the realization that his master plan was actually a misuse of proprietary info. Any job at a large firm carries the weight of silence along with...
You're smarter than me, so point me in the right direction
I'm finishing up my Bachelor of Commerce in Finance and looking to land a job in the compliance/investigations/business analysis area. Most companies are only hiring candidates who have strong backgrounds in financial analysis and/or who possess "strong investigative skills". Such expectations are...
Bank CEOs To Guarantee Compliance?
Who's ready to watch Lloyd Blankfein pinky swear that Goldman Sachs will do no evil? That's what's in store for investment bank CEOs if the Financial Stability Oversight Council has their way. In a proposal released this week, the FSOC is floating the notion that bank CEOs should have to publicly...
Forget IBD, get your PhD
The Nobel Prize. Once an everlasting testament to human intellectual innovation. A beacon of hope, a searchlight though the clouds over our mind's eye. Today, more akin to an online diploma from a for-profit university . A lifetime achievement Oscar for the likable fellow who never quite shone...
Need career advice / decision help.
Hey Everyone - long time reader here. Quick background on me. CUNY, 3.1 GPA, Econ Major, studying for gmat , been working in Compliance at Top BB , doing AML/Risk related analysis/investigations/trade surveillence. Prop traded previously for 6 months at no name garbage shop, have 3 years market...
Consulting vs Compliance vs Being Jobless
WSO , I need some advice. And sorry, this is long. So I spent a couple of years working in-house at a large investment bank in their compliance department directly supporting their investment banking and capital markets groups. Then I made a jump over to a non-finance company for personal and...
Job Offer - Trading Path??
I got a job offer recently from the National Futures Association. They are essentially the FINRA of the futures/commodities industry. I've been having trouble landing finance jobs and only have offers in major insurance broking or this. Does anyone know about this company? Can knowledge of futures...
Compliance... do they generally monitor bloomberg msgs?
Anyone have any knowledge of this? Thx in advance.
Personal Accounts: Rule 407 and You
Well, thanks to one particularly interesting post on needing advice on how to address his issue with being “Let Go” posted here on WSO by Valuetrader400, I thought it would be a nice thing to explain something called NYSE Rule 407 to all of you prospective monkeys looking for full-time...
Compliance question
I created a new account to ask this question for obvious reasons. Is it actionable (in a legal sense) if an independent ER firm (that also has a wealth management arm) is pushing products (mostly ETFs that they both control and generate) on clients regardless of the clients risk profile? So if a...
Hedge Fund Compliance Publications
Hey guys, Does anybody know of any publications / periodicals that deal with hedge fund compliance issues?
Two Offers..which to take???
I'm a non-target MBA student. To make a long story short, I've been trying to get some insight into the career options that I have. I can get a job in BO , most likely in Compliance for a BB . I know what it entails, and so do most of you. So that's option # 1. Secondly, I've been offered a position...
Really need help/advice! How to convince compliance to approve my outside account!
I really need help on this one.... what are the convincing arguments to let compliance approve your outside PA? I don't want to have to move my account into my firm, so they can charge me 5x commissions and totally bend me over. I was thinking about describing the "unique" features of my online...
PE Compliance Role
Hi, I'm probably going to get flamed a few times for mentioning PE and Compliance in the same sentence, but here is my question: what kind of compensation can a Compliance professional expect at a top-tier PE firm ( Blackstone , KKR , Carlyle, Bain, etc)? How are bonuses (%)? Thanks, kcw984
Compliance procedures and policies
It has been bestowed upon me to create some compliance guidelines and procedures for our firm. Any idea where to start? Is there a website with examples? Thank you
Ubs compliance superday-hear back?
Anyone hear back for SA?
Compliance Department of BB
I have interview coming up with the Compliance Department of BB , pleeease help with some information as to what i can expect with the whole process, including interivew questions, are they substantive in nature or more about teasers. thanks.
website/blog compliance
Hi all, I'm wondering if anyone has any experience with publishing research online and how to make it comply with SEC/FINRA regulations, specifically 17-4a and 17-3a. We're trying to ramp up some online distribution tools, the first foray being a simple "blog" updated by an analyst. I think we need...
Personal account -- getting on the share register
Hi this is a question for those of you running personal accounts on the side. At the moment all I want to do is buy a certain company's stock, and hold it for the forseeable future (long term). However I want to be sure that I am on the company's share register. Is this possible through a normal...
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