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 649 jobs
Assurance Analyst Australian Office of Financial Management $84,727(plus 15.4% superannuation) Australia-Canberra 24 May 13

Make your next career move with the Australian Office of Financial Management (AOFM).

Senior Manager Operational Risk - Basel ll Retail Banking $135k+s+b Randstad $135k+s Australia-Canberra 07 Feb 13

Great opportunity within a Leading Financial services giant to formulate and lead an Operational risk framewo...

Compliance Analyst* Macquarie Competitive Australia-Melbourne 24 May 13

See job description for details

Senior Associate Legal PWC Competitive Australia-Sydney 25 May 13

See job description for details

Senior Lawyer - Transaction Banking ANZ Competitive Australia-Sydney 24 May 13

See job description for details

Corporate / Commercial Lawyer - Associate PWC Competitive Australia-Sydney 24 May 13

See job description for details

Manager, Compliance - Fixed Income, Currencies and Commodities, Risk Management Group* Macquarie Competitive Australia-Sydney 24 May 13

See job description for details

Director of Compliance, Wealth Management* Macquarie Competitive Australia-Sydney 24 May 13

See job description for details

Lawyer Macquarie Competitive Australia-Sydney 24 May 13

See job description for details

Lawyer, Legal and Governance* Macquarie Competitive Australia-Sydney 24 May 13

See job description for details

Compliance Analyst, Wealth Management Macquarie Competitive Australia-Sydney 24 May 13

See job description for details

Manager, Compliance Corporate and Asset Finance* Macquarie Competitive Australia-Sydney 24 May 13

See job description for details

Senior Lawyer E*TRADE - Global Wealth Legal - Sydney ANZ Competitive Australia-Sydney 23 May 13

See job description for details

Senior Lawyer, Dispute Resolution - Global Wealth & Private Bank - Sydney ANZ Competitive Australia-Sydney 23 May 13

See job description for details

Operational Risk Manager Huxley Associates AUD110000 - AUD150000 per annum Australia-Sydney 22 May 13

* Operational Risk Manager * Sydney CBD Based * $110 000 -$150 000 base + super + bonus * Permanent Positio...

Risk Manager - Part Time Thomas Hancock Associates Competitive Australia-Sydney 22 May 13

Leading Superannuation Fund - Part Time (3-4 days) - Sydney Based

Head of Operational Risk - Platforms Morgan McKinley AUD200000 - AUD300000 per annum Australia-Sydney 21 May 13

Reporting directly to the CEO and working closely with the head of the business this is a rare opportunity to ...

Compliance Manager - Institutional Funds Management Robert Walters Negotiable Australia-Sydney 16 May 13

A leading international fund manager is seeking a Compliance Manager to join the Sydney office.

AML Manager Oceans Group Attractive remuneration Australia-Sydney 19 Apr 13

Leading global investment bank is seeking the services of an experienced Compliance professional to work as pa...

Test & Vacancy Only Not Disclosed Salary description goes here Bangladesh 31 Oct 11

Job summary field. This is just a test job. Please do not apply.

CREDIT MANAGER (M/F) Michael Page International Competitive Belgium-Brussels Region 23 May 13

CREDIT MANAGER (M/F)

Un(e) responsable Compliance/Risque BIL - Banque Internationale à Luxembourg Compétitif Belgium-Brussels Region 08 May 13

Dans ce cadre et pour renforcer nos équipes en Belgique, nous recherchons un/une Responsable Compliance / Risk...

COMPLIANCE OFFICER Axis to be discussed Belgium-Brussels Region 02 May 13

Pour un de nos clients, nous sommes à la recherche d''un Compliance Officer.

SECRETAIRE JURIDIQUE Axis EUR0.00 per annum + to be discussed Belgium-Brussels Region 02 May 13

Pour un de nos clients, nous recherchons une sécretaire juridique pour un remplacement de congé maternité.

Paralegal: betwiste zaken Axis To be discussed Belgium-Brussels Region 02 May 13

Voor een van onze klanten zijn we op zoek naar een dossierbeheerder Invorderingen.

Legal Counsel Real Estate Axis to be discussed Belgium-Brussels Region 02 May 13

Voor een van onze klanten zijn we op zoek naar een Legal Counsel Real Estate.

Flying secretary Axis Negotiable Belgium-Brussels Region 02 May 13

For one of our clients, we are looking for a flying secretary. You will work full-time for different teams of ...

Sécretaire Juridique Axis Negotiable Belgium-Brussels Region 02 May 13

Pour un de nos clients nous sommes à la recherche d''une sécretaire juridique.

LEGAL OFFICER: LOBBY & PRESS Axis to be discussed Belgium-Brussels Region 02 May 13

Voor een van onze klanten zijn we op zoek naar een Legal Officer: Lobby & Press.

LEGAL COUNSEL Axis to be discussed Belgium-Brussels Region 02 May 13

For one our clients we are looking for a legal counsel.

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

Sponsored jobs