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Contents
 
1. Risk Professionals
2. Compliance Professionals
3. Sarbanes Oxley Professionals
4. Basel ii Professionals
5. Solvency ii Professionals
6. Hedge Funds Professionals
7. Members of the Board of Directors

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Are you looking for a job in risk and compliance management?
 
Become a member of the following Associations. Membership is free
 
1.
Sarbanes Oxley Compliance Professionals Association (SOXCPA)
This is the largest Association of Sarbanes Oxley professionals in the world.
 
The website of the Association:
www.sarbanes-oxley-association.com
 
2. Basel ii Compliance Professionals Association (BCPA)
This is the largest association of Basel ii professionals in the world.
 
The website of the Association:
www.basel-ii-association.com

3. Basel iii Compliance Professionals Association (BiiiCPA)
This is the largest association of Basel iii professionals in the world.
 
The website of the Association:
www.basel-iii-association.com
 
4. International Association of Risk and Compliance Professionals (IARCP)
Risk-based compliance is becoming more important year after year.
 
The website of the Association:
www.risk-compliance-association.com
 

 
Case Study
 
 
Case Study: Compliance Manager - Commercial Banking Permanent

Commercial Banking Compliance supports line of business compliance with laws and regulations relevant to all aspects of Commercial Banking. CB has several different sub-lines of business which include Mid-Corporate Banking, Middle Market Banking, Chase Business Credit, Chase Capital, Leasing, Real Estate, Capital Placements Group and Financial Institutions and these business lines serve clients with $10MM - $2B in annual revenue, as well as government, not-for profit and healthcare clients.

The Compliance Manager for the securities team is responsible for managing the securities related activities for CB which includes adherence to all rules and regulations for all registered representatives and MFPs within the Commercial Bank. The Commercial Banking Compliance Manager for the securities team is a part of the CB Compliance management team and reports directly to the Chief Compliance Officer for Commercial Banking.

Responsibilities:

Monitor, assess, and influence banking and corporate regulatory compliance processes with respect to the securities related business in Commercial Banking

Provide ongoingtechnical compliance guidance and expertise to business line officers and management

Coordinate and manage the firm's MFP program in the Commercial Bank

Perform annual risk assessment of securities regulations/mitigants

Ensure compliance with all state and local rules (ie gifts, political contributions, lobbying laws) for government banking group

Develop various presentations and report metrics for business line management

Monitor regulatory developments and participate in industry-wide initiatives

Perform annual compliance securities testing for business units

Provide Annual Compliance Meeting (ACM) training to all licensed bankers

Develop overall securities related training program for all licensed bankers in Commercial Banking
 
Interface with Internal Audit and Regulatory Branch audit on all securities related matters

Responsible for rules and regulations for gifts/entertainment for licensed bankers/MFPs

Monitor space sharing guidelines for Commercial Bank

Responsible for Conflicts Office/Control Room training and coordination within Commercial Bank

Demonstrate strong analytical project management and control skills.

    
 

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