We use cookies to ensure we give you the best experience on our websites. If you continue, we'll assume that you are happy to receive all cookies on our websites. Find out more about our cookie policy.

x

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

Job search
Search Advanced
Post your resume

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.

Show more » « Show less

Showing 1-30 of 683 jobs
Compliance Manager II Job BNY Mellon Competitive USA-NY-New York City 20 Jun 13

See Job Description

Compliance Manager Argyll Scott International £50k - £80k + bons + bens UK-London 20 Jun 13

My client is a well known asset management house with a primary focus on private equity currently searching fo...

Compliance Advisory Manager RBC Capital Markets £££Competitive UK-London 20 Jun 13

RBC is looking for a Compliance Advisory Manager to join the team. Please apply if you come from a Compliance ...

Collateral/Security Documentation Lawyer – CONTRACT JCW Search Competetive UAE-Abu Dhabi 20 Jun 13

My client, a large Corporate/Commercial bank based in Abu Dhabi, is looking for an experienced Lawyer to under...

Compliance Manager, AML for leading Management Consulting firm in Hong Kong Selby Jennings Competitive Hong Kong SAR 20 Jun 13

Exciting opportunity to work as a Compliance Manager, Anti-money Laundering (AML) for a leading Management Con...

Head of Intelligence and Financial Crime Barclay Simpson Asia SGD 200,000 - SGD 270,000 basic + bonus... Singapore 20 Jun 13

Major global wholesale and consumer bank with a significant APAC presence have an exciting new requirement for...

Senior Operational Risk Manager – Vice President – Leading International Private Bank Barclay Simpson Asia Excellent for the right candidate Hong Kong SAR 20 Jun 13

My client one of the world's leading private banks is looking to recruit an experienced operational risk manag...

Senior Manager/Associate Director - AML / Sanctions Compliance Taylor Root HongKong Negotiable Hong Kong SAR 20 Jun 13

Senior Manager/Associate Director - AML / Sanctions Compliance Our client is a top-tier investment bank. A ne...

Compliance Senior Manager Pure Search Hong Kong Salary dependent upon experience Hong Kong SAR 20 Jun 13

A global organisation with offices in HK seeks to appoint a Regulatory Compliance Senior Manager with 8-12 yea...

Juriste Conformité H/F Procapital A définir selon profil France-Paris 20 Jun 13

Dans le cadre de son développement, ProCapital recherche : Un(e) Juriste Conformité

Head of AML and ABC Hamlyn Williams £80,000 – £150,000 UK-London 20 Jun 13

We are looking for a Head of AML (Anti Money Laundering) & ABC (Anti Bribery & Corruption) to join our Complia...

Monitoring & Surveillance Officer Nomura Market Rate UK-London 20 Jun 13

An opportunity to join Nomura as a Monitoring & Surveillance Officer within the wider Compliance team.

Compliance VP or Director, Corporate Banking Ambition Group Singapore Pte Ltd Attractive Salary Package Singapore 20 Jun 13

Compliance VP or Director within a Global Corporate Bank, based in Singapore

Legal Counsel Hudson Hong Kong Attractive remuneration Hong Kong SAR 20 Jun 13

• China based Securities house – A top tier securities firm in mainland China • Open to candidates who is q...

Compliance Monitoring Executive - London Real Staffing GBP55000 - GBP65000 per annum UK-London 20 Jun 13

This will be a key role focussing on mapping conduct risks, designing and implementing controls to protect the...

AML FIU Investigation Officer UBS AG Competitive Singapore 20 Jun 13

An excellent opportunity has arisen to join UBS as an AML FIU Investigation Officer.

Senior Programme Manager, Derivatives Regulatory Reporting, Director Charles Levick Exc + Bens UK-London 20 Jun 13

A new and senior appointment has become available with my client, a leading Investment Bank based in London. T...

Snr Compliance & Risk Specialists Citifocus £Attractive Package UK-London 20 Jun 13

High calibre individuals with superior analytical skills and excellent practical experience of the investment...

Compliance - Private Wealth management - Advisory - MAS -SGP FiveTen SGD150000 - SGD210000 per annum Singapore 20 Jun 13

Compliance - Private Wealth management - Advisory - MAS -Singapore Global Private Wealth Management Instituti...

Head of Sanctions Hamlyn Williams £80,000 – £150,000 UK-London 20 Jun 13

I global banking group is looking for a sanctions specialist to lead there policies across the group from a sa...

Compliance Officer Optiver Holding B.V. Excellent Netherlands-North-Holland 20 Jun 13

Location Amsterdam; Fulltime

Company Secretarial Manager Macquarie Competitive Australia-Sydney 20 Jun 13

See job description for details

Deputy Chief Compliance Officer (Policy and Ethics) EBRD Competitive UK-London 20 Jun 13

Role OverviewPrimary Function of the Deputy Chief Compliance Officer (DCCO) (Policy and Ethics) To act as a d...

Execution Manager - Legal Bravia Capital Hong Kong Limited Base salary plus discretionary bonus to... Hong Kong SAR 20 Jun 13

We are seeking a full time transaction execution role to be based in Hong Kong whose primary job responsibilit...

Compliance Manager Newedge Group Negotiable Hong Kong SAR 20 Jun 13

Reports to the local Head of Compliance, the successful candidate will assist in the performance of the depart...

VP Compliance - Custody, Cash and Trade Services T+O+M $170-200k Singapore 20 Jun 13

Exciting opportunity in Compliance covering Custody, Trade and Cash banking products....

Compliance Analyst Western Union Business Solutions Base + Super Australia-Sydney 20 Jun 13

Western Union Business Solutions, a Global Fortune 500 Company, is seeking two Compliance Analysts in Sydney

Senior Compliance Officer T+O+M $60-70k Singapore 20 Jun 13

Generalist Compliance role dealing with front to back compliance issues for the APAC region.....

COMPLIANCE DIRECTOR / ASSOCIATE DIRECTOR Recruitment Intelligence Consultants Limited Competitive package Hong Kong SAR 20 Jun 13

A global investment management company is looking for a high caliber professional to join as Compliance Direct...

Legal Manager (5+ yrs PQE) Hong Kong Hughes-Castell Competitve Compensation Package Hong Kong SAR 20 Jun 13

Excellent career development opportunity for an experienced commercial lawyer to join this Asia's leading IT s...

Create an email update for the latest jobs matching this search Compliance / Legal
Create email alert
RSS