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Financial jobs and Asia Pacific financial careers in Compliance / Legal. Browse available job offers and apply online

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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 233 jobs
Compliance Manager (AVP) Randstad attractive Singapore 18 May 13

Globally revered international bank, new head count to the compliance team

Company secretary (financial institution) Randstad attractive Singapore 18 May 13

Looking for an experienced candidate to take on the corporate secretarial duties for the Singapore and Hong K...

Foreign Bank seeking Manager - Compliance (Regional exposure) Empiric Basic plus bonus Singapore 17 May 13

Our client is a foreign bank seeking Compliance professional to be part of their Compliance team supporting pr...

Head of Compliance, Asia - Hong Kong or Singapore Not Disclosed Industry leading total compensation pack... Hong Kong SAR 17 May 13

Our firm is a $7bn systematic hedge fund with a presence in China, Hong Kong and Singapore. We are currently ...

Legal and Compliance Analyst Not Disclosed Excellent salary and benefits package Hong Kong SAR 17 May 13

Global hedge fund of considerable repute looks to hire an ambitious and intelligent legal and compliance profe...

Head of Compliance & Internal Control McGregor Boyall Singapore Negotiable based on experience Singapore 17 May 13

Our client, a Commercial Bank with a huge regional presence in EMEA is looking for Head of Compliance & Intern...

Compliance Mumbai - Compliance Surveillance Professional - Associate Morgan Stanley Competitive India-Mumbai 17 May 13

See job description for details

Compliance Mumbai - Compliance Surveillance Professional - Associate Morgan Stanley Competitive India-Mumbai 17 May 13

See job description for details

Compliance Manager Selby Jennings $60000 - $75000 per annum Singapore 17 May 13

Leading Bank with extensive presence globally seeks qualified personnel to join as Compliance Manager to play ...

Head of Compliance | Asset Management Selby Jennings $170000 - $200000 per annum, Benefits: (... Malaysia 17 May 13

World Renowned Asset Manager seeks a Compliance Officer to assist with the build out of investment management ...

Deputy MLRO Aurec Negotiable Singapore 17 May 13

My client is an International Wealth Management firm with a growing presence in Asia. They are currently looki...

Head of Regulatory Risk and Controls Aquis Search Negotiable Singapore 17 May 13

Established Corporate and Investment bank is seeking for a Head of Regulatory Risk and controls. Newly added h...

VP, Compliance, Global Investment Bank Profile Search & Selection bonus Singapore 17 May 13

My client is an investment bank with a significant presence in Singapore. As a result of increased regulatory ...

VP, AML, Global Private Bank Profile Search & Selection bonus Singapore 17 May 13

My client is a top tier private bank with clients and offices around the world. As a result of the increased r...

VP - Project Manager, Operations, Investment Bank Profile Search & Selection Competitive Package Singapore 17 May 13

Working as part of a new program, consisting of several projects within Operations across APAC, helping automa...

Governance / Company Secretary – INVESTMENT BANK – SINGAPORE ConnectedGroup Pte Ltd (Licence No. 09C4979) $ Excellent Base + Bonus Singapore 17 May 13

Our client is a highly successful Boutique Investment Bank with burgeoning businesses in SE Asia. This global ...

Compliance Officer Talent2 Singapore (Licence No. 11C4535) Attractive renumeration Singapore 17 May 13

6 Months Contract position, $100-120K/annum base salary (based in CBD area, Singapore) Focus on global markets...

Private Banking - Compliance/AML/Documentation ( 1 year contract) Skillsforce Very attractive Singapore 17 May 13

We are looking for an experienced Compliance/AML officers in Private Banking for1 year contract.

Director AML - Asset Management Oceans Group Bonus Hong Kong SAR 17 May 13

Leading global bank is looking to appoint an experienced AML Leader to manage the AML regional function coveri...

Head, Compliance – Wealth Management Hudson Singapore (Licence No. 03C4590) Competitive Singapore 17 May 13

• Reputable Bank • Newly Created Position • Regional Exposure

Manager - Compliance Team Hays Negotiable Singapore 17 May 13

My Client, an international bank is hiring a Compliance manager.

BA - Regulatory (applicants must be immediately available) Hays SGD100000.00 - SGD130000.00 per annum Singapore 17 May 13

Applicants must be immediately available

Risk Manager - Technology (VP/AVP) Hays Negotiable Singapore 17 May 13

Global Investment bank is seeking for experienced Operational Risk professional for their Technology team.

Compliance Manager - Private Banking Hays Negotiable Singapore 17 May 13

We are currently looking for a Compliance Manager for our client who is an international bank with their Priva...

AVP/VP - Compliance and Financial Regulatory Selby Jennings $100000 - $140000 per annum Singapore 17 May 13

Top Tier Investment Bank seeks Compliance manager to join their regional compliance team. This is a great care...

Compliance Manager - Boutique Company! T+O+M Competitive Singapore 17 May 13

An exciting role in a boutique investment house that has strong Asian focus. You will have coverage over Sing...

TAX Compliance Specialist AVP/ VP T+O+M SGD 120 - 180 K Singapore 17 May 13

Our client is a Top Global bank due to expansion is seeking to recruit a Tax Compliance Specialist. Managing ...

Corporate Secretarial Executive Orangefield Mgt Svcs SG negotiable Singapore 17 May 13

Co-ordination and Administration of Corporate Secretarial Duties Assisting in Maintenance of Company Kits, ...

Head of Legal (Assistant Director up to Director level) Selby Jennings $240000 - $360000 per annum Malaysia 17 May 13

Leading Bank seeks experience Senior Legal Counsel to head up their regional legal team. You will work closel...

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.

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