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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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| Manager, Risk and Compliance | RBF Competitive remuneration | Australia-Hobart | 11 May 12 |
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Experienced person required to manage the RBF Risk and Compliance Unit.
| Sr Analyst, Investment Compliance | The Northern Trust Company (Singapore Branch) Competitive | Australia-Melbourne | 15 May 12 |
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This position is open to be based in Melbourne, Australia.
| Operational Risk Advisory | Marshall Mcadam Broad salary range | Australia-Perth | 14 May 12 |
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This top tier consultancy is growing. With a pipeline of diverse and challenging Op Risk work, they are seekin...
| Audit / Compliance | Profusion Group Associate Director level | Australia-Sydney | 17 May 12 |
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Investment Banking Risk Management team - asses the degree of compliance to policies procedures and external r...
| Registrations Compliance Officer | Morgan McKinley NA | Australia-Sydney | 16 May 12 |
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$120k to $140k package - 9-12 months - Fixed Term Contract This long term contract gives you the opportunity t...
| LEGAL - Legal Secretary - Contract | Deutsche Bank not disclosed | Australia-Sydney | 15 May 12 |
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See job description below
| Operational Manager - Operations/Process Improvement - $120k+ | Robert Walters AU$100000 - AU$120000 per annum + BONUS | Australia-Sydney | 15 May 12 |
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New role is now available at a prestigious international bank responsible for managing Operational Risk in a f...
| Operational Manager - Operations/Process Improvement - $120k+ | Robert Walters AU$100000 - AU$120000 per annum + BONUS | Australia-Sydney | 15 May 12 |
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New role is now available at a prestigious international bank responsible for managing Operational Risk in a f...
| Compliance Manager | Ethos Corporation NEG | Australia-Sydney | 15 May 12 |
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An outstanding opportunity exists for a Compliance Manager to join a leading global bank
| Manager | KPMG Package including superannuation | Australia-Sydney | 14 May 12 |
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Support the National Board & NEC
| Quality Assurance Specialist | Porterallen 85000 | Australia-Sydney | 14 May 12 |
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Leading Medical Indemnity Organisation currently require an experienced Quality Assurance Specialist.
| Quality Assurance Specialist | Porterallen 85000 | Australia-Sydney | 14 May 12 |
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Leading Medical Indemnity Organisation currently require an experienced Quality Assurance Specialist.
| Business & Process Analysts | Compliance (FATCA) Market Rates | Bluefin Resources AU$0.00 per annum | Australia-Sydney | 11 May 12 |
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| Test & Vacancy Only | Not Disclosed Salary description goes here | Bangladesh | 31 Oct 11 |
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Job summary field. This is just a test job. Please do not apply.
| (SENIOR) TAX CONSULTANT - GLOBAL EMPLOYER SOLUTIONS | Deloitte a competitive remuneration package | Belgium-Brussels Region | 30 Apr 12 |
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The Global Employer Services department (GES) provides companies with support and advice, on a worldwide basis...
| Senior Manager / Director Insurance Industry (Operational Excellence) | Deloitte. An attractive and competitive salary wit... | Belgium-Brussels Region | 30 Apr 12 |
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You will support our clients, through various project assignments, in identifying & delivering tailored soluti...
| Senior Consultant / Manager Banking Industry (Operational Excellence) | Deloitte. An attractive and competitive salary wit... | Belgium-Brussels Region | 30 Apr 12 |
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You will support our clients, through various project assignments, in identifying & delivering tailored soluti...
| Compliance Officer Retail and Private Banking | BNP Paribas Fortis Competitief | Belgium-Brussels Region | 14 May 12 |
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Binnen Compliance Retail en Private Banking zijn wij op zoek naar een medewerker voor het team Retail and Priv...
| Anti-Money Laundering / AML Manager | ICBC Competitive | China-Beijing | 16 May 12 |
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ICBC head quarter is looking for Anti-Money Laundering / AML Manager with overses anti-money laundering exper...
| Board of Secretary | UBS Securities Market Competitive | China-Beijing | 16 May 12 |
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A role sitting under UBSS's managament office, corporate center.
| IBD COO | UBS Securities Market Competitive | China-Beijing | 16 May 12 |
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Reporting to senior management of UBS-S IBD, the UBS-S IBD COO will be responsible to work with different func...
| COO, Investment Banking China -- a Top Tier Securities JV | Michael Page International - China Compensation will be attractive and comm... | China-Beijing | 15 May 12 |
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Our client is a top tier Securities JV with a presence across mainland China and a global brand name. This is ...
| Compliance, VP, Leading Securities House, Beijing | Michael Page International - China Competitive salary package | China-Beijing | 15 May 12 |
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Our client is a leading Securities House based in Beijing. They are seeking for a Compliance VP to join their ...
| Regional Compliance Manager | Michael Page International - China Attractive Package | China-Chongqing | 15 May 12 |
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Our client is a leading foreign bank with wide coverage of business.
| Chief Internal Auditor | Global Associates Competitive | China-Chongqing | 14 May 12 |
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To cope with the China development, a foreign banking financial group is looking for a qualified leader to tak...
| Internal Auditor | Career International Shanghai Open | China-Shanghai | 15 May 12 |
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Report to China Head of Internal Auditor & Asian Head of Internal Auditor Primary Location: Shanghai
| Senior Compliance Manager – EFNC/CN74704/MSON | Hudson - China Competitive | China-Shanghai | 15 May 12 |
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A reputable JV fund house is looking for Senior Compliance Manager for it's newly setup Hong Kong Office.
| Mid Level and Senior Corporate Lawyers | Barclay Simpson US/Magic Circle Market Rate | China-Shanghai | 08 May 12 |
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Leading international US law firm looking to expand its Corporate Finance department in Shanghai or Hong Kong.
| Risk Manager | Kingsley Adams Competitive plus excellent benefits | Cyprus | 14 May 12 |
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This leading global financial services provider with a vast international presence is looking for an experienc...
| Risk Director | Webber Chase Ltd Competitive salary and bonus structure | Czech Republic | 14 May 12 |
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international trading house looking for an experienced Market & Credit risk candidate willing to relocate in E...
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