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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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| Branch Manager | 360 Search Attractive remuneration package commensu... | Ireland-Dublin | 14 May 12 |
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Our client is seeking to recruit a high calibre insurance professional with management experience. Branch mana...
| Tax Executive | Adecco Italia S.p.A. Gross Salary will be commensurate with t... | Italy-Lazio | 01 May 12 |
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Tax Executive
| Project Programme Manager ARROW MIFID FATCA Regulatory & Compliance Change KYC Investment Bank | Adlam Consulting Ltd £700+ /day | UK-London | 15 May 12 |
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Senior Project Manager/Program Manager Very high profile role.Extensive experience of Compliance Best Practice...
| Chief Operating Officer (COO) | Advantage Professional Hong Kong Highly competitive | Hong Kong SAR | 14 May 12 |
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Experienced COOs required for clients within the financial and professional services industries.
| Legal & Compliance, VP @ Corporate Bank | Aegis Recruitment Attractive | Singapore | 17 May 12 |
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Our client is an established Japanese bank operating in Singapore. We are looking for a banking professional ...
| Head of Contol & Governance, Asset/Fund Management | Agg Jones £80-100k Base + Excellent Benefits | UK-London | 15 May 12 |
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Agg Jones are working with the Wealth arm of a Tier 1 Bank who are looking to appoint a Head of Control & Gove...
| Head of Compliance Business Advisory, Private Banking | Agg Jones c.£80-90,000 + Excellent Benefits | UK-London | 15 May 12 |
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Agg Jones are currently working with the Wealth arm of a Tier 1 Bank who due to agressive growth plans are sca...
| LEGAL COUNSEL | AIA Group Competitive local terms | Hong Kong SAR | 14 May 12 |
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As a leading life insurer, AIA's success is built on experience gained from serving the world's most dynamic r...
| Vice President | AIG NA | New York, NY, 10001 | 02 May 12 |
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| Global IT Compliance Leader | AIG NA | Houston, TX, 77001 | 01 May 12 |
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| IT Compliance Specialist | AIG NA | Houston, TX, 77001 | 01 May 12 |
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| VP, Compliance Audit | Aim Higher Consultancy Limited Above 1M | Hong Kong SAR | 11 May 12 |
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Our client, a top tier investment bank, is currently looking for a high caliber individual to join their inter...
| Senior Wealth & Tax Planner | UK desk | Albert Cliff Competitive | Switzerland-Zurich | 16 May 12 |
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Albert Cliff is proud to work alongside one of Switzerland's top private banks - its name being synonymous wit...
| Senior Wealth/Tax Planner - UK coverage (Zurich based) | Albert Cliff Ltd Competitive | UK-London | 16 May 12 |
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Albert Cliff is proud to work alongside one of Switzerland's top private banks - its name being synonymous wit...
| Senior Counsel | Aldrich and Company Competitive | Ireland-Dublin | 14 May 12 |
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Our client, a top-tier global financial services group that has significant growth plans, needs to support the...
| Wealth Management, Compliance Manager | ALS International Competitive Package | Hong Kong SAR | 17 May 12 |
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Global Financial Services . Newly Created Role . Expanding Business . Good Internal Mobility
| Senior AML Compliance Manager – Financial Institution | ALS International HKD80-100k per month | Hong Kong SAR | 14 May 12 |
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Team Management . Newly Created Role . Expanding Business . Good Career Progression
| Singapore Compliance Manager | ALS International Attractive | Singapore | 14 May 12 |
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Our client, a US based investment management company, is seeking a compliance manager for its Singapore office...
| Legal Counsel, Technology Law | ALS International Attractive | Singapore | 14 May 12 |
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Our client is an international investment bank and they are currently seeking two experienced Legal Counsel, ...
| Compliance Manager / Marketing & Distribution | Altus Search £50,000 - £70,000 | UK-London | 15 May 12 |
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Compliance Manager / Marketing & Distribution
| Senior Compliance Advisory Manager / Private Banking | Altus Search £100,000 to £120,000 | UK-London | 15 May 12 |
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Senior Compliance Advisory Manager / Private Banking
| Advisory Compliance Manager / Fixed Income | Altus Search £80,000 to £100,000 | UK-London | 15 May 12 |
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Advisory Compliance Manager / Fixed Income
| Compliance Advisory / Retail Banking (6 months contract) | Altus Search £500 per day | UK-London | 15 May 12 |
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Compliance Advisory / Retail Banking (6 months contract)
| Compliance Officer - Markets / Investment Banking | Altus Search £50,000 to £60,000 | UK-London | 15 May 12 |
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Compliance Officer Markets / Investment Banking
| Compliance Adviser | Ambition Group Singapore (Licence No. 10C5117) Attractive Salary Package | Singapore | 11 May 12 |
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Compliance Adviser (AVP/VP) for Private Bank!
| Equities Compliance - VP | Ambition Hong Kong Excellent Salary & Benefits | Hong Kong SAR | 15 May 12 |
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Senior Level Equities Compliance role with a leading Investment Bank
| Wholesale Banking Compliance - AVP/VP | Ambition Hong Kong Attractive Salary Package | Hong Kong SAR | 15 May 12 |
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Treasury Compliance role with a Leading Wholesale Bank
| VP, Internal Audit, Regional Coverage | Ambition Hong Kong Attractive Base Salary + Bonuses | Hong Kong SAR | 15 May 12 |
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A well-respected Audit function is seeking a high-calibre Audit Professional to join the Asia Regional Team..........
| VP Compliance, Wealth Management | Ambition Hong Kong Competitive Salary and Benefits | Hong Kong SAR | 15 May 12 |
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Wealth Management Compliance Role with a Leading Global Bank
| Group Investments Compliance Analyst | Amlin Plc £35,000-£43,000 | UK-London | 14 May 12 |
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If you're a highly motivated Compliance Analyst with a good understanding of investment regulations and impres...
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