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Compliance Officer

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  1. Buy-side firms slam broker Sefs over lack of anonymity

    If Sefs end up being simply a more complicated, more costly, more compliance-heavy method of trading the same way we always have, then I don't think we will have accomplished a lot. To me, it feels like when you cut through the arguments for post...

  2. New role for Okazawa at BNPP, and other recent job moves

    He will report to Jeffrey Hiller, global chief compliance officer, and Paul McConomy, chief administration officer, Asia and Middle East. Prior to joining Principal Global Investors, Lam was most recently with Axa Investment Managers in Hong Kong...

  3. Mifid II doomsday awaits energy firms, conference told

    Shell compliance officer warns of "serious threat" posed by EU rules Marc Cornelius, compliance officer for Europe at Shell International Trading a unit of oil major Shell – previously worked at the UK Financial Services Authority (FSA), where he...

  4. Risk management and compliance for hedge funds migrate to the front office

    Calls for improved risk management and effective pre-trade compliance checks have resulted in major changes in how hedge funds are run and the technology they use. The middle office, traditionally home to risk management technology and compliance...

  5. The slow growth of the carbon offsets market

    According to Jan Fehse, forestry expert at UK-based carbon origination company EcoSecurities, avoided deforestation has huge potential under regulated compliance based markets. However, despite their pivotal role in tackling climate change...

  6. EU regulators ready to act in concert?

    Deutsche Bank halted trading of eurozone sovereign CDSs for two hours that morning as it checked it was in full compliance with the rules, and several other dealers are understood to have done the same.

  7. Changing Hats, July 2010

    The ARC Logics brand was created following the purchase by Wolters Kluwer of CCH Sword and Axentis, and the company is now merging its products – Sword and Axentis – to form one product that measures, monitors and manages risk and compliance...

  8. Op risk managers need to turn on the charm

    But for those who wish to stay in risk management, choices can be limited.Tajuddin Khan is head of operational risk and compliance at United Arab Bank. More often, global heads of op risk can move into the chief operating officer role, as their...

  9. Sponsored webinar: Strengthening the defences

    Prior to entering federal service in 2002, Tiedge spent 17 years as a bank vice-president, Corporate Bank Secrecy Act compliance officer and bank fraud investigator at a large south-eastern depository institution.

  10. Waiting and watching the regulators

    He says managers will need to, among other things, designate a chief compliance officer and adopt and implement robust compliance policies. The main concern will be restrictions on what a manager can do, costs of compliance and restrictions on...

  11. Axis of AML

    One of the key aspects that is driving banks towards compliance is Section 312 of the Patriot Act, by virtue of which banks in the US need to ensure a higher degree of scrutiny when entering into correspondent banking relationships with other...

  12. Traitors in our midst

    The variety of information or other intellectual property at risk requires an information security officer in a position to harness not just IT resources, but legal, audit, compliance, operations and data analytics, while also having the ear of...

  13. Be prepared

    Whether the current authorities of banking regulators are taken over by this new agency or not, it is clear the prudential regulators, all of whom have consumer compliance responsibility today, and the Fed, which is responsible for rulemaking, are...

  14. BVI hedge funds Industry faces challenges

    The amendments included provisions that allow BVI funds to outsource AML compliance, including the money reporting officer function, to administrators or other functionaries in recognised jurisdictions.