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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 1-26 of 26 jobs
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

Risk & Compliance Manager Optimum recruitment $90,000 - $100,000 Australia-Brisbane 19 Jun 13

Brisbane based Compliance & Risk role interfacing with APRA and oversight of the function

Research Analyst GOW Australia Flexible dependant on experience Australia-Sydney 19 Jun 13

With the Australian proxy season fast approaching my client is looking to bolster its local research team with...

Compliance SYD, Private Wealth Management (PWM), Vice President Morgan Stanley Competitive Australia-Sydney 18 Jun 13

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Compliance and Risk Manager - Wrap/Superannuation Macquarie Competitive Australia-Sydney 18 Jun 13

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Director of Compliance, Wealth Management* Macquarie Competitive Australia-Sydney 18 Jun 13

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Manager, Compliance - Fixed Income, Currencies and Commodities, Risk Management Group* Macquarie Competitive Australia-Sydney 18 Jun 13

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Senior Manager, Compliance, Macquarie Funds Group Macquarie Competitive Australia-Sydney 18 Jun 13

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Director, Compliance, Macquarie Funds Group Macquarie Competitive Australia-Sydney 18 Jun 13

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In-house Lawyer* Macquarie Competitive Australia-Sydney 18 Jun 13

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Lawyer Macquarie Competitive Australia-Sydney 18 Jun 13

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Manager, Compliance Corporate and Asset Finance* Macquarie Competitive Australia-Sydney 18 Jun 13

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Administration Assistant, Company Secretarial Macquarie Competitive Australia-Sydney 18 Jun 13

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Corporate / Commercial Lawyer - Associate PWC Competitive Australia-Sydney 18 Jun 13

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Senior Associate Legal PWC Competitive Australia-Sydney 18 Jun 13

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Senior Lawyer E*TRADE - Global Wealth Legal - Sydney ANZ Competitive Australia-Sydney 18 Jun 13

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Global Markets - Structured Finance - Vice President Deutsche Bank Australia 0 Australia-Sydney 18 Jun 13

A Passion to Perform. It's what drives us. More than a claim, this describes the way we do business. We're com...

Senior Compliance Officer Citi Australia Competitive Australia-Sydney 18 Jun 13

VP position overseeing the compliance program for the Cards business of Citi.

Market Access Support Officer Not Disclosed Competitive Australia-Sydney 18 Jun 13

We are seeking to fill the role of a Direct Market Access Support Officer in our Sydney office.

Company Secretarial - Senior Consultant PWC Competitive Australia-Sydney 17 Jun 13

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Compliance Manager Huxley Associates AUD120000 - AUD140000 per annum Australia-Sydney 17 Jun 13

Opportunity for a Compliance Manager with people management skills to join a leading global Financial Services...

Head of Equity Market Risk - ANZ UBS Australia Competitive Australia-Sydney 17 Jun 13

The Head of Equity Market Risk is responsible for identifying, reporting, challenging, at both Market Risk Con...

Company Secretarial Manager Macquarie Competitive Australia-Sydney 17 Jun 13

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Junior Paralegal - 12 month contract, Core Business Services, Sydney Ernst & Young Competitive Australia-Sydney 08 Jun 13

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Assurance Analyst Australian Office of Financial Management $84,727(plus 15.4% superannuation) Australia-Canberra 29 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...

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