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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 622 jobs
Legal & Compliance, VP @ Corporate Bank Aegis Recruitment Attractive Singapore 17 May 12

Our client is an established Japanese bank operating in Singapore. We are looking for a banking professional ...

Compliance Manager/AVP, Private Banking Hudson Hong Kong Attractive Package Hong Kong SAR 17 May 12

Great Career Exposure; Foreign International Private Bank; Attractive Remuneration Package

Head of Compliance Hudson Hong Kong competitive salary Hong Kong SAR 17 May 12

A Reputable Chinese Securities Firm; Great Career Prospect; Competitive Compensation

Wealth Management, Compliance Manager ALS International Competitive Package Hong Kong SAR 17 May 12

Global Financial Services . Newly Created Role . Expanding Business . Good Internal Mobility

Audit / Compliance Profusion Group Associate Director level Australia-Sydney 17 May 12

Investment Banking Risk Management team - asses the degree of compliance to policies procedures and external r...

Legal Counsel - VP - IB ConnectedGroup Limited $70,000 to $90,000 (month) + bonus Hong Kong SAR 17 May 12

New role created for expanding team in a major Investment Bank. Interviews commence w/c 21st May...............

Lawyer Wellington Management Company, LLP Competitive USA-London 17 May 12

Lawyer

Asia Pacific Compliance Testing Group, Associate - Singapore Goldman Sachs Competitive Singapore 17 May 12

The Goldman Sachs Group is a leading global financial services firm providing investment banking, securities a...

Compliance Division, Goldman Sachs Asset Management (GSAM) Compliance, Analyst / Associate - Singapore Goldman Sachs Competitive Singapore 17 May 12

The Goldman Sachs Group is a leading global financial services firm providing investment banking, securities a...

Data Governance, Senior Manager Kerry Consulting Pte Ltd (Licence No. 03C4828) salary & variable bonus Singapore 17 May 12

You will work with the T&O Group in establishing and maintaining a framework, policies, procedures, processes,...

Associate/Senior Associate, Client On-boarding and AML Compliance (Private Banking) Kerry Consulting Pte Ltd (Licence No. 03C4828) Attractive Remuneration Singapore 17 May 12

Our client is a major regional private bank and has received outstanding accolades consecutively in recent yea...

VP, Compliance (Consumer & Wealth) Kerry Consulting Pte Ltd (Licence No. 03C4828) Attractive Remuneration Singapore 17 May 12

Reporting to the Singapore Head of Compliance, you will support the bank's consumer and wealth businesses

VP, AML & Sanctions Kerry Consulting Pte Ltd (Licence No. 03C4828) Attractive Remuneration Singapore 17 May 12

Challenging role where you will provide leadership to promote compliance with the bank's Anti-Money-Laundering...

Legal Counsel, Asia Kerry Consulting Pte Ltd (Licence No. 03C4828) Attractive Remuneration Singapore 17 May 12

Reporting to the Asia Head of Legal, you will responsible for providing commercial legal advice and support fo...

Group IT Auditor – 4 years of experience Interquest Asia Pte Ltd Competitive Singapore 17 May 12

Our client is one of Singapore's leading local banks, they are currently looking for an IT Auditor with at lea...

Group Compliance United Overseas Bank Competitive Singapore 17 May 12

With a vision to be a premier bank in the Asia Pacific, we are looking for people who make a difference and wh...

Head of Private Banking Compliance - Singapore Standard Chartered Bank NA Singapore 17 May 12

The role holder supports the Global Head of Compliance to provide Compliance team leadership and has responsib...

AML-Sanctions & Regulatory Pure Search Hong Kong Attractive Japan-Tokyo 17 May 12

A fantastic AML opportunity with one of the largest and most diverse financial services firms in the world has...

KYC Specialist T+O+M Competitive Singapore 17 May 12

An exciting new role in Client On-Boarding for a KYC Analyst! Friendly working environment aswell as great ca...

Regional KYC Manager - APAC T+O+M Competitive Hong Kong SAR 17 May 12

Exciting career opportunity for a Regional KYC Manager! Growing team & competitive salary package!

Compliance| AML | South East Asia | Singapore Selby Jennings Singapore (Licence No. 11S3033) $6-7k SGD + benefits + bonus Singapore 17 May 12

Top Japanese Bank seeks to hire a Compliance Analyst to oversee AML and CFT.

Appointed Actuary | APAC | Asia Pacific Selby Jennings Singapore (Licence No. 11S3033) Base Salary – US$100,000- US$140,000 (ne... Singapore 17 May 12

Top insurance company with strong Global Presence seeks Appointed Actuary to head a team of professionals and ...

Data Warehouse Designer Synechron Inc DOE Windsor, CT 17 May 12

Synechron, Inc. is seeking a Senior Data Warehouse Designer / SQL Server DBA. The selected candidate will lead...

BI Lead/ Lead MSBI Synechron Inc DOE Windsor, CT 17 May 12

Synechron, Inc. is seeking a Senior ETL Technical Lead. The selected candidate will be part of a global team w...

Inquiries Group Analyst Morgan Stanley not disclosed New York, NY 16 May 12

See job description below

Manager, Operational Risk & Compliance, Governance ANZ not disclosed New Zealand-Wellington 16 May 12

See job description below

Private Equity Legal Associate Michael Page International 65,000 -85,000+ 20% bonus Boston, MA, 02110 16 May 12

Our client is a top tier private equity firm with a variety of strategies. They are looking to add a paralegal...

Compliance Officer Western Asset Management Company Competitive Pasadena, CA, 91101 16 May 12

Individual will ensure client portfolios are invested in accordance with client guidelines, internal policies ...

Portfolio Monitoring /Compliance Specialist Citifocus £Excellent Packages/Rates UK-London 16 May 12

Prestigious investment management house seeks a highly experienced Compliance Manager to manage asset managem...

Compliance Business Analyst II JPMorgan Chase not disclosed Hong Kong SAR 16 May 12

See job description below

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