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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 277 jobs
Equities / ECM Compliance Officer - Executive Director Morgan Stanley Competitive UK-London 18 Jun 13

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Fixed Income Capital Markets Compliance Officer - Executive Director Morgan Stanley Competitive UK-London 18 Jun 13

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MSIM Fund Lawyer (Executive Director) Morgan Stanley Competitive UK-London 18 Jun 13

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Control Group Associate - Compliance, London Morgan Stanley Competitive UK-London 18 Jun 13

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Technology, Intellectual Property and E-Commerce Lawyer (Vice President) Morgan Stanley Competitive UK-London 18 Jun 13

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KYC Analysts - High Risk Entities - London £300 - £370 p/d Standard Bank Plc £300 - £370 per day UK-London 18 Jun 13

We are seeking KYC Analysts with very strong backgrounds in Investment Banking working on medium to high risk ...

Senior Regulatory/Risk Specialist Citifocus £Attractive Package UK-London 18 Jun 13

Excellent, opportunities exist for high calibre individuals with in-depth knowledge of investment banking and ...

Know Your Customer (KYC) Analyst Deutsche Bank Competitive UK-London 18 Jun 13

Ensuring accuracy of Customer Due Diligence files from the KYC / Client Onboarding (COB) / Review teams of Deu...

Junior Compliance Analyst - Monitoring / AML / Sanctions / Financial Crime Rees Draper Wright £25,000 to £35,000 + benefits and bonus UK-London 18 Jun 13

A leading Investment Management firm requires a Junior Compliance Analyst who is keen to work in the Asset Man...

Compliance Manager, Asset Manager Ashmore Group Plc Competitive Base & Strong Bonus UK-London 18 Jun 13

Ashmore is a specialist Emerging Markets asset manager. Rapid growth has seen AuM grow to U$77.7bn and offices...

Retail Compliance Officer LMA £65000 - £80000 (depending on experience... UK-London 18 Jun 13

My client is looking for an experienced RETAIL COMPLIANCE Officer to join their leading brand.

Financial Crime / Sanctions Manager Hays Specialist Recruitment Ltd GBP500.00 per day UK-West Midlands 18 Jun 13

Financial Crime / Sanctions Manager Birmingham up to £500 per day

Regulatory Affairs & Compliance Advisor Michael Page Financial Services £40,000 UK-South West 18 Jun 13

Regulatory Affairs & Compliance Advisor with Financial Services (Investment) in Gloucestershire.

Senior Compliance Advisor Michael Page Financial Services £110k - £135k pro rata UK-London 18 Jun 13

A senior compliance professional is being sought to work within the advisory compliance team covering the Fina...

Compliance Officer Michael Page Financial Services £500p/d UK-London 18 Jun 13

A temporary role within a large global Asset Management company based in london. It is a broad, diverse genera...

CASS Compliance Operations Manager Carr Lyons £120k UK-London 18 Jun 13

Carr Lyons is working with a global banking group''s regulatory risk team which is recruiting for a CASS SME t...

Compliance Monitoring Analyst Real Staffing GBP250 - GBP400 per day UK-London 18 Jun 13

This role has opened up within a global investment firm based inLondon. The role will require you to ensure th...

Commercial Banking Lawyer BBVA Competitive UK-London 18 Jun 13

Currently we have a vacancy within our Legal team in London for a lawyer to provide legal advice to our commer...

Product Management Executive - Prestigious Asset Manager Carnegie Consulting To £45,000 plus bonus and benefits UK-London 18 Jun 13

Fantastic opportunity for a candidate with asset management experience to work within a role concerned with th...

Senior Compliance Associate (Financial Promotions) - Language Skills Essential Carnegie Consulting Up to £75,000 plus bonus UK-London 18 Jun 13

My client, a top tier London based Asset Manager has a fantastic opportunity for a Compliance candidate with F...

Business Analyst HSBC Bank plc Competitive UK-London 18 Jun 13

We are looking for a Business Analyst with experience of compliance monitoring systems such as Charles River, ...

UK Compliance Manager Ace European Group Ltd Competitive UK-London 18 Jun 13

Compliance Manager UK, ACE European Group

Senior Auditor Butterfield Private Bank Competitive salary & benefits UK-London 18 Jun 13

Excellent opportunity to join well established Private Bank in the City. Reporting to Head of Internal Audit (...

Business Controller RBS Group £Competitive plus 30% cash and benefits... UK-London 18 Jun 13

We have an excellent opportunity to join the RBS Group as a Business Controller within our UK Corporate Bankin...

Provisions Controller RBS Group £Competitive plus 30% cash and benefits... UK-London 18 Jun 13

Here at the RBS Group we''ve an excellent opportunity for a Provisions Controller to lead the Provisions team ...

Senior Analyst RBS Group Up to £37,500 including 25% benefits pac... UK-Edinburgh 18 Jun 13

Here at the RBS Group we''ve an excellent opportunity for a high-performing, ambitious individual to join our ...

Regulatory PMO Bruin Financial competitive UK-London 18 Jun 13

Senior project management officer (PMO)- VERY COMPETITIVE RATES

Risk & Controls Business Analyst - Front Office Eames Consulting Risk £500-600 per day UK-London 18 Jun 13

Our client is a global investment bank; they have requirements for two Risk and Control BAs to deliver within ...

Compliance Director - Equity Derivatives Advisory Eames Consulting Risk £500 -700 per day UK-London 18 Jun 13

Our client is a global investment bank, they have a vacancy in their Sales and Trading Compliance Advisory tea...

Head of Compliance - Fund Manager Eames Consulting Risk £600-800 per day UK-London 18 Jun 13

Our client is an international fund manager based in the City, they have an urgent interim requirement for a H...

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