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Compliance / Legal


In this sector, we list all legal and compliance jobs for finance professionals. Compliance roles exist to make sure banks, asset managers, hedge funds, insurance companies and any other forms of financial services firms obey the regulations required by the law of the country in which they are operating. Compliance professionals check with front office employees on the business side of the organization to guarantee any regulatory requirements are met. They also train salespeople, traders, M&A bankers and other financial services employees on the expectations of national and supranational regulators.

Regulatory jobs in financial services and investment banks can be in one of a number of categories, including:

Sales and trading compliance - This position requires working closely with salespeople and traders in a bank to check that their activities comply with any requirements of a local regulator. Sales and trading compliance professionals are usually product specialists. They may specialize in areas such as bonds, equities or derivatives.

Control room compliance - This position includes maintaining a bank's restricted list (which restricts confidential information to specific people), checking that Chinese Walls are upheld and monitoring for unusual or alarming dealing activity. If a certain employee is placed on a "stop and watch" list, the control room compliance team check to make sure they're stopped and watched.

Monitoring and surveillance - People working in this category study specific behavior and trading transactions that could demonstrate fraudulent activity. They check for activities such as insider dealing or any manipulation of markets across the exchanges.

Anti-money laundering (AML) - These professionals are responsible for preventing money laundering, which is when the profits of illegal activities are made to appear legitimate.

Asset managers, retail banks, insurance companies and hedge funds hire compliance staff as well. The global financial crisis has increased regulation of many different types of financial services firm. As a result, compliance has become much more important. In addition to listing jobs for compliance officers, compliance managers and senior compliance professionals from compliance recruitment agencies in the categories listed above, this section contains listings for jobs at actual financial services regulatory bodies such as the SEC. Many jobs revolve around enforcing these regulations.

Banks and other financial services companies also employ lawyers or attorneys and paralegals to check that their documentation and contracts comply with established law. As such, this sector also lists these legal financial jobs.

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Showing 1-30 of 592 jobs
Paralegal Managers Investment Group Competitive Norwalk, CT 09 Feb 12

Managers Investment Group offers long- term investment strategies through a unique platform that includes open...

Risk Lawyer TFPL None specified New York, NY, 10001 09 Feb 12

My Client is a global legal firm looking for a Risk Lawyer to work within their Risk Department at their New Y...

Compliance Manager ProFund Advisors LLC base and an annual bonus Bethesda, MD 09 Feb 12

Position is responsible for ensuring ProFund Advisors, LLC (PFA) and ProShare Advisors, LLC (PSA) is informed ...

Head of Bank Regulatory Compliance Societe Generale Commensurate with experience New York, NY 09 Feb 12

Societe Generale has an opening for a Head of Bank Regulatory Compliance person.

Vice President Branch Compliance BBVA Competitive Manhattan, NY, 10105 09 Feb 12

The Vice President of Branch Compliance will be responsible for directing and implementing the capital markets...

Compliance Officer, Standard & Poor's Standard & Poor`s not disclosed New York, NY 08 Feb 12

Standard & Poor's is seeking a senior compliance officer to conduct examinations and audits. This position...

Senior Product Tax Specialist eSecLending Competative Boston, MA, 02110 08 Feb 12

Primarily responsible for performing tax related due diligence for new products, new markets, ensuring the com...

Controller ITW Rippey Competitve El Dorado, CA 08 Feb 12

See Job Description Below

Business Analyst American International Group, Inc. (AIG) US$65000 - US$115000 per year + bonus New York, NY, 10001 08 Feb 12

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Compliance Attorney Robert Half Financial Service Group Up 150K New York, NY, 10167 08 Feb 12

Robert Half Financial Services group works with some of the most prestigious companies in the Financial Servic...

Compliance Analyst Hudson City Savings Bank Based on experience Paramus, NJ, 07652 08 Feb 12

Responsible for monitoring and testing compliance with rules and regulations applicable to Banks and mortgage ...

Capital Markets Attorney The Forum Group Total comp up to $200-250k for the right... New York, NY 08 Feb 12

The ideal candidate for the Capital Markets Attorney role will have broker dealer experience and worked well w...

Contracts Director FX Alliance, LLC DOE New York, NY, 10022 08 Feb 12

The candidate will negotiate and draft documentation covering a wide variety of transactions, including agre...

Compliance Branch Manager The Forum Group Base plus bonus Manhattan, NY, 10014 08 Feb 12

Our client, an international wealth management firm is looking to bring in a compliance or administrative mana...

Commodity Futures Trading Compliance Officer Ashton Lane Group, Inc Excellent Base & Bonus Minneapolis, MN 08 Feb 12

Senior position leading the commodity trading compliance for a multinational company

Director OTC Derivatives Compliance Ashton Lane Group, Inc Excellent Base & Bonus New York, NY, 10001 08 Feb 12

Oversee compliance audits, financial analysis, investigations and surveillance within a financial services reg...

Senior Risk Manager - OTC Derivatives Ashton Lane Group, Inc Excellent Base & Bonus New York, NY, 10001 08 Feb 12

Manage regulatory capital and margin requirement risk programs within financial services

Director Regulatory Reporting Ashton Lane Group, Inc Excellent Base & Bonus New York, NY, 10001 08 Feb 12

Finop required to Oversee Financial & Regulatory Reporting team of a global investment bank.

Director of Operational Risk & Regulatory Compliance Not Disclosed Base salary plus bonus Chicago, IL, 60606 07 Feb 12

15 or more years experience in public accounting, risk, internal audit and/or compliance. Experience in commer...

Senior Compliance VP/Associate - Top Fund/Asset Manager Not Disclosed Very Competitive Manhattan, NY, 10023 07 Feb 12

We're a top performing, rapidly growing macro fund/asset manager in Manhattan and are seeking an energetic, ex...

Compliance Manager Highland Capital Management, L.P. Competitive Dallas, TX, 75240 07 Feb 12

Highland is looking for a motivated Compliance Manager. He/She will be responsible for assisting the Chief Com...

Compliance Associate Highland Capital Management, L.P. Competitive Dallas, TX, 75204 07 Feb 12

Highland Capital has an immediate opening for a bright, hard-working individual to work in compliance within t...

DC Regulatroy Services Consultant Tomer Search Group 80,000 -90,000 Boston, MA 07 Feb 12

The Regulatory Admin. Advisor is responsible for the day to day review and production of the work and services...

Legal Assistant Ronin Capital $45,000-$70,000 Base, DOE Competitive bo... Chicago, IL, 60654 06 Feb 12

Ronin is currently looking to hire a Legal Assistant with previous experience working in a law firm or in the...

Investment Management Advertising Compliance The Forum Group Base salary, bonus and benefits. Manhattan, NY, 10016 06 Feb 12

Our client, a global investment managment firm based in Midtown is seeking a Marketing Review compliance profe...

Senior Auditor Cotton & Company Competitive Alexandria, VA 06 Feb 12

Cotton & Company is seeking Senior Auditors with at least two years of Federal financial statement audit exper...

Audit Manager Cotton & Company Competitive Alexandria, VA 06 Feb 12

Cotton & Company is seeking Audit Managers to supervise and conduct financial and internal controls audits of ...

Sr. Counsel - Fund Securities MFS Investment Management Competitive Boston, MA 06 Feb 12

Provides legal counsel, planning and services to MFS, its subsidiaries and its fund complexes. Provides advice...

Senior Estate and Trust Counselor Vanguard annual Philadelphia, PA, 19019 06 Feb 12

Senior Estate & Trust Counselor position available

Regulatory Compliance, Fixed Income Not Disclosed Commensurate with experience Stamford, CT, 06901 06 Feb 12

Responsible for identifying, measuring, controlling and monitoring Regulatory Risk and Compliance for Operatio...

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