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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|VP/D Level - Front Office COO/Business Manager (Ops Risk, Compliance, Internal Audit Skillset)||Mondrian Alpha Significant base + bonus from front offi...||Japan-Tokyo||20 May 13|
A leading investment bank that is in the process of building out a new front office risk and control function ...
|Compliance Officer||Western Union Base + Bonus||Japan-Tokyo||20 May 13|
Western Union, a Global Fortune 500 Company, is seeking an experienced Compliance Officer to join our team in ...
|Supervisory VP||Morgan McKinley - Tokyo negotiable||Japan-Tokyo||24 Apr 13|
Unique front office supervisory role with a leading investment bank.
|Senior Regulatory Counsel||Standard & Poor's Singapore Competitive||Japan-Tokyo||09 Apr 13|
We are seeking a Senior Regulatory Counsel to work in our Tokyo office alongside the current Tokyo-based Senio...
|VP Legal Counsel - International Investment Bank||Hays Legal Market Rate||Japan-Tokyo||03 Feb 13|
Unique opportunity for a junior to mid-level bengoshi to join the legal team of a major global investment ban...
|AVP Legal Counsel - Investment Banking||Hays Legal Up to 15 million yen||Japan-Tokyo||03 Feb 13|
Great chance for a junior bengoshi to join the investment banking division of this international bank. Handl...
|Legal & Compliance Counsel - International Financial Services Company - Tokyo||Hays Legal Japan JPY 15 - 20 million||Japan-Tokyo||03 Feb 13|
Newly created position covering legal & compliance matters for this financial services giant in Japan. Report...