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Financial jobs and Compliance / Legal recruitment opportunities. Find finance jobs in Compliance / Legal, job market news & Compliance / Legal recruitment

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Compliance / Legal


This sector contains all our legal & compliance jobs for finance professionals. Compliance roles are there to ensure banks, asset managers, hedge funds, insurance companies, and other forms of financial services firms are working in line with the regulations imposed by the country they're operating in. Compliance professionals liaise with front office employees on the business side of the organisation to make sure these regulatory requirements are met and to educate salespeople, traders, M&A bankers, and other financial services employees on the expectations of national and supranational regulatory bodies.

These regulatory jobs in financial services and investment banks can be divided into various categories, including:

Sales and trading compliance - working with a bank's salespeople and traders to ensure their activities comply with the requirements of the local regulator. Sales and trading compliance pros are often product specialists - for example, they might specialise in bonds, equities or derivatives.

Control room compliance - centralised tasks such as maintaining the bank's restricted list (which restricts confidential information to key individuals), ensuring Chinese Walls are upheld and checking for abnormal or alarming dealing activity. Should certain staff be placed on 'stop and watch' lists, it's the control room compliance team who ensure they're stopped - and watched.

Monitoring and surveillance - scrutinising specific behaviour and trading transactions that might indicate fraudulent activity, such as insider dealing or manipulation of markets across the exchanges.

Anti-money laundering (AML) - stopping money laundering (where the financial proceeds of illegal activities are given the appearance of being legitimate).

Asset managers and hedge funds also recruit compliance staff, as do retail banks and insurance companies. In the wake of the global financial crisis, regulation of financial services firms has increased and compliance has become increasingly important. As well as containing jobs for compliance officers, compliance managers and senior compliance professionals from compliance recruitment agencies in the areas referred to above, this section also includes jobs at financial services regulatory bodies such as the FSA (in the UK) and the SEC (in the US). Regulatory jobs frequently revolve around the enforcement of such regulations.

Alongside compliance staff, banks and financial services firms employ an army of lawyers or attorneys and paralegals to ensure the documentation and contracts associated with their business fall within the law. This section also includes these legal jobs within financial services.

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Showing 1-30 of 648 jobs
Senior Compliance Manager Carr Lyons £70,000 - £80,000 base UK-London 19 May 13

Carr Lyons is working with a global NBFI which is recruiting an experienced Regulations Compliance Manager for...

Compliance Manager - Global Markets Carr Lyons Very Competitive UK-London 19 May 13

Our Client is a Global Banking Group, now seeking a Compliance Manager, with global markets advisory experienc...

Information Security Risk consultant required by Tier 1 Investment Bank based in London DBFS Up to £100,000 UK-London 19 May 13

DBFS are currently working with a market leading Tier 1 IB that are searching for a Information Security Risk ...

VP – Compliance/Risk and Controls Hudson Banking £65,000 - £75,000 UK-London 19 May 13

A global investment bank is looking for a VP – Compliance/Risk and Controls. The role holder will join a compl...

Executive Director, Operational Risk (EMEA) Investigo Risk Management Executive Director compensation UK-London 19 May 13

Oversight & Controls - Corporate Risk Management - Operational Risk

Control Group Associate - Compliance, London Morgan Stanley Competitive UK-London 19 May 13

See job description for details

CASS (Client Assets) SME Hudson Banking £75,000 - £95,000 UK-London 19 May 13

A major global bank is looking for a CASS (Client Assets) SME. The CASS SME will become single point of contac...

DCM Compliance Specialist - VP Hudson Banking VP - Very Competitive UK-London 19 May 13

A Global Top Tier investment bank is actively looking for a DCM Compliance Specialist. The DCM Compliance Spec...

Regional Head of Anti Bribery & Corruption Hudson Banking £90,000 - £110,000 UK-London 19 May 13

A Top Tier Investment bank is looking for an EMEA Head of Anti Bribery and Corruption. This is not a tradition...

Fixed Income Compliance Officer - Executive Director Morgan Stanley Competitive UK-London 19 May 13

See job description for details

Global Capital Markets Compliance Officer - Executive Director Morgan Stanley Competitive UK-London 19 May 13

See job description for details

MSIM Fund Lawyer (Executive Director) Morgan Stanley Competitive UK-London 19 May 13

See job description for details

AML Compliance Officer - Director Morgan Stanley Competitive UK-London 19 May 13

See job description for details

Technology, Intellectual Property and E-Commerce Lawyer (Vice President) Morgan Stanley Competitive UK-London 19 May 13

See job description for details

Group Financial Crime Manager Eames Consulting Risk £550-700 per day UK-London 18 May 13

Our client is a global insurance business; they have an urgent requirement for an interim Group Financial Crim...

Compliance Manager/AVP Eames Consulting Risk £350-400 per day UK-London 18 May 13

Our client is a global investment bank and due to the formation of a new team they have a requirement for a Co...

Investment Compliance Analyst Mason Blake £55,000 - £65,000 UK-London 17 May 13

Our client is a blue chip leading independently owned Investment Management firm with around £460 billion AUM ...

Compliance Officer Paragon Executive Excellent Package & Benefits UK-London 17 May 13

Our Client, A Global Investment Manager with £250Bn AUM is looking to recruit a Senior Compliance Officer to ...

Global Standards Programme Lead HSBC Global Services Center Competitive UK-London 17 May 13

We are looking for a Programme Lead to work within the global standards group. You will have experience of del...

Regulatory / Capital Markets Lawyers for FI & Global Advisory Not Disclosed Negotiable UK-London 17 May 13

This uppermost tier investment bank seek outstanding lawyers with capital markets and/or regulatory experience...

Prudential Compliance Analyst Pure Search Negotiable UK-London 17 May 13

Outstanding investment bank seek a compliance analyst with strong spreadsheet skills and a reasonable understa...

Corporate Compliance Manager - VP State Street UK Excellent Package UK-London 17 May 13

This role will serve as a project manager for regulatory and compliance program initiatives as well as provide...

Compliance Manager - CF10/CF11 PSD Risk £90,000+ excellent remuneration pension... UK-London 17 May 13

An excellent opportunity for an accomplished Compliance Officer to join a successful family owned Private Bank...

Compliance Officer and MLRO Officer ICM Capital Competitive package offered UK-London 17 May 13

ICM Capital ltd are seeking a Compliance officer to handle all regulatory matters in relation to FCA. The succ...

Project Manager .HSBC Competitive Rate UK-London 17 May 13

This project manager role will be part of the global Compliance Operations program, sitting across all regions...

Sales & Marketing : Compliance Advisory Hays Specialist Recruitment GBP65000.00 - GBP70000.00 per annum UK-London 17 May 13

A wonderful new opportunity with a premier global fund manager

Credit Risk Methodology - Vice President Greenwich Atlantic Associates Competitive UK-London 17 May 13

A prestigious investment bank are seeking a quantitative credit risk professional with specific IMM / Basel ex...

Legal Executive, Leading Mid-Market Fund, London - 3740 /9D Private Equity Recruitment Competitive UK-London 17 May 13

You will join one of the leading mid-market funds in the UK as a legal professional. This is a senior appointm...

Compliance Monitoring Manager / Investment Banking Altus Search £70,000 to £90,000 UK-London 17 May 13

Compliance Monitoring Manager / Investment Banking

Fund Services Global Legal Adviser - Location London, Luxemburg or Paris BNP Paribas Competitive salary UK-London 17 May 13

  Looking to make a move? An excellent opportunity has arisen for a result driven Fund Services Global Legal...

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