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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 733 jobs
Programme Manager KYC 7FiftyTwo Solutions £750 - £850 Per Day UK-London 29 May 13

The purpose of this role is to further build, lead, direct and deliver the KYC delivery portfolio. Manage and...

Stage Consultant Management & Organisation 99 Partners Advisory A déterminer France-Paris 17 Jun 13

99 Partners Advisory conseille les acteurs de l'industrie financière dans leurs enjeux stratégiques de dévelop...

Company Secretary Roles with Abrivia Abrivia EUR35000 - EUR60000 per annum + negotiab... Ireland-Dublin 20 May 13

Abrivia recruitment have been a market leader in company secretarial recruitment since 2005 and currently have...

Company Secretary Roles with Abrivia Abrivia EUR35000 - EUR60000 per annum + negotiab... Ireland-Dublin 23 Apr 13

Abrivia recruitment have been a market leader in company secretarial recruitment since 2005 and currently have...

In-House Company Secretary 3PQE Abrivia EUR30000 - EUR50000 per annum + negotiab... Ireland-Dublin 23 Apr 13

* General company secretarial support to the business including; * Ensure that all corporate registers and mi...

Compliance Manager Abrivia EUR50000 - EUR70000 per annum Ireland-Dublin 11 Apr 13

Compliance Manager

Consulting - Risk Management Regulatory Compliance Accenture Italy Competitivo Italy-Lombardia 17 May 13

Se sei in grado di elaborare idee non convenzionali e di trasformarle in risultati di eccellenza, se sei abit...

Financial Crime Systems BA Advantage Resourcing GBP250 - GBP400 per day UK-London 17 Jun 13

This Global Banking Brand is looking for a Financial Crime Systems BA to provide support on a project to desig...

Global Money Laundering Control Officer Advantage Resourcing GBP450 - GBP550 per day UK-London 17 Jun 13

Money Laundering Control - AML Policy Writing - up to £550pd - top tier company

Compliance Specialist @ Private Banking Aegis Recruitment Very attractive Singapore 18 Jun 13

Our client is starting up its wealth management desk. They will start the operation in the middle of 2013. An ...

Compliance Breach Manager AGS on Behalf of RBS GBP.00 per annum UK-London 17 Jun 13

We have an outstanding contract opportunity for a Compliance Breach Manager to make their mark with one of the...

Een Senior Claims Examiner M/V AIG Goede primaire en secundaire arbeidsvoor... Netherlands-South-Holland 10 Jun 13

AIG zoekt voor de afdeling Claims een Senior Claims Examiner M/V

Compliance Analyst Programmer AIG Negotiable USA-NY-New York City 26 Apr 13

supporting all ongoing activities related to the development, implementation and maintenance of databases and ...

Federal Reserve Liaison Manager AIG Negotiable USA-NY-New York City 26 Apr 13

Build and maintain a constructive, cohesive and collaborative day-to-day relationship with the Federal Reserve...

Banking Lawyer | Syndication and Capital Markets Albert Cliff Ltd Very Competitive Base + Bonus Russia-Moscow 11 Jun 13

a Tier 1 CIB is looking for an experienced lawyer to join the Investment Department team as a Deputy Director ...

In-House Legal Counsel Albourne Partners Ltd Competitive UK-London 29 May 13

We are seeking to recruit a permanent in-house counsel for our London office.

German speaking Internal Auditor (m/f) Alceda Fund Management S.A. Attractive Compensation Luxembourg 13 Jun 13

Für diese Aufgabe suchen wir eine Persönlichkeit, die durch Eigeninitiative und eine proaktive Arbeitsweise üb...

Director, Financial and Compliance Aldan Global Resources Pte Ltd On Application Singapore 16 Jun 13

As a Director of Financial Compliance & Projects in the Regional HQ, you play a critical role in supporting th...

Forensic Accounting Aldan Global Resources Pte Ltd On Application Singapore 16 Jun 13

The Forensic Accounting and Advisory Services team assists clients in a range of engagements, including comple...

Fraud Investigator Alec, Allan & Associés SA Attractive Switzerland-Romandy - Geneva 17 May 13

On behalf of one of our clients, an international private bank with offices in Geneva, we are seeking a:

Business Analyst - Regulatory - Volcker Alexander Ash Consulting 65,000 - 90,000 - VP Level UK-London 03 Jun 13

*** Business Analyst - VP Level - Perm - excellent visability with Senior Business Sponsors *** http://www.al...

Business Analyst - KYC - Client On-Boarding - Audit Alexander Ash Consulting Contract up to 500 per day UK-London 28 May 13

http://www.alexanderash.com/banking-jobs.php Global Programme - Business Analyst - KYC Analyst - London - Tie...

Associate - Reporting and Monitoring Team - Tier 1 Investment Bank Alexander Ash Consulting £60,000 - £70,000 UK-London 16 May 13

Looking for an experienced Operations professional to work in the Reporting and Monitoring team - Associate wi...

Director Level Programme Manager Alexander Ash Consulting Competitive UK-London 03 May 13

My client is a global Investment Bank looking for an established Director level Programme Manager to work on s...

VP, Compliance Testing (Top-Tier Investment Bank) ALS International Attractive Remuneration Hong Kong SAR 14 Jun 13

Multicultural Environment . Newly Created Role . Expanding Business . Good Internal Mobility

AML Assurance Manager – APAC ALS International Competitive Package Hong Kong SAR 14 Jun 13

Global Financial Services Institution . Regional Exposure . Newly Created Role . Travelling Opportunity

VP /SVP, Compliance Risk Review ALS International Negotiable Hong Kong SAR 14 Jun 13

Our client is an established global financial institution with a strong reputation for its stability and prese...

VP – Regional Compliance Audit (Top Tier Investment Bank) ALS International Attractive Package Hong Kong SAR 14 Jun 13

Reputable Investment Bank . Regional Exposure . Newly Created Standalone Role

Compliance Officer – Product Compliance ALS International HKD450-700k per annum Hong Kong SAR 14 Jun 13

Investment Banking. Newly Created Role . Expanding Business . Good Compliance Culture

Team Lead – Fixed Income Compliance (Global Financial Services Institution) ALS International Attractive Remuneration Hong Kong SAR 14 Jun 13

Team Management Opportunity . Expanding Business . Multi-Cultural Environment

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