Compliance/Legal: currently 785 jobs.The latest job was posted on 20 Nov 14.
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.
Deutsche Bank A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. We compete to be the leading global provider of financial services, balancing passion with precision to deliver superior solutions for our
clients. This is made possible by our people: agile minds, able to see beyond the obvious act effectively in an ever-changing global business landscape. As you’ll discover, our culture supports this. Diverse, international and shaped by a variety of different perspectives, we’re driven by …
Business Analyst - Regulatory Reporting
Keywords: Business Analyst, Regulatory, Regulatory Reporting, Basel, Mifid, EMIR, BPM, Business Process Modelling, Process Modelling, Agile, Waterfall, Modelling, Investment Banking, Swap Dealer Repository, Swap Data Repository
- Strong Business Analyst
- Regulatory knowledge and experience
- Business Process Modelling
- Experience working in an Agile environment
London based. Paying great rates.
My client a leading Investment Bank is l…
My client, a leading global banking group, is seeking Compliance Administrator to work in the Compliance Department. The role will provide general administrative support to the compliance officers, inclusive of the Chief Compliance Officer of the Americas Division.
Ongoing administration of the personal trading surveillance system
Assisting compliance officers in periodic monitoring and testing activities
Assisting in new hire/periodic training
Assisting with compilation of Head Office/local reporting
Assisting with polic…
A global brand in Asset Management required an experience Investment Compliance specialist to join their business as a Team manager for their Guideline Monitoring team.
A global brand in Asset Management required an experience Investment Compliance specialist to join their business as a Team manager for their Guideline Monitoring team, managing pre and post trade monitoring as well as rule coding using the Charles River system. This role manages a team of 5 Associates.
The role reports directly in to the Head of Investment Compliance, and…
Vous êtes contrôleur interne / RCCI / RCSI dans le secteur des services d’investissement, vous avez - entre 2 et 5 ans d’expérience - ou plus de 5 ans d’expérience et vous souhaitez donner une autre dimension à votre carrière.
Rejoignez Marker et contribuez au renforcement de votre expertise, de façon variée et enrichissante, auprès de nombreux types de Prestataires de services d’investissement, d’Asset managers ou encore de Conseillers en gestion de patrimoine.
Marker Management Consulting
Créé en juin 2006, Marker Management Consultin…
Attractif selon profil (fixe + variable + dispositif d’intéressement et de participation)
Nomura is an Asia-based financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Asset Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought lea…
Nomura is an Asia-based financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Asset Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered t…
My Client, an Investment Manager, is looking to recruit Portfolio Monitoring Analyst on a 9 month contract basis.
My Client, an Investment Manager, is looking to recruit Portfolio Monitoring Analyst on a 9 month contract basis.
The incumbent will be responsible in providing a full service to a specified fund management area, incorporating the complete workflow of portfolio monitoring process.
Ensuring the monitoring of all IMA/Regulatory/Client guidelines for funds under individual responsibility is captured in portfol…
My client is an International Private Bank and they are looking to recruit a Compliance Monitoring candidate to join their London Compliance team.
Risk-assess the business undertaken and operational practices for consideration of inclusion in the Compliance Monitoring Programme.
Develop and maintain a risk-based approach to planning and scoping activities to be undertaken to ensure there is adequate oversight of the compliance risks across both regulated entities.
Plan, schedule and complete risk-based reviews appro…
Our client a well regarded, global wealth management and advisory firm seeks a CCO to oversee their Investment Advisers & Investment Services division.
Specific responsibilities include:
Oversee all aspects of compliance related to the operation of an SEC registered U.S. Investment Advisor and a FINRA member broker-dealer; including, but not limited to: AML policies and procedures, personal trading, books and records
Assist with compliance efforts of affiliated registered advisor in Hong Kong;
Maintain effective compliance policies a…
Large Broker Dealer in Jersey City is looking for a Manager to run it's Licensing and Registrations Group with in depth knowledge of Forms U4 & U5, and FINRA Rule 4530.
Responsible for all aspects of FINRA and state securities registration and licensing for large Firm and its employees (Form U4, U5)
Responsible for administering, monitoring and documenting the regulatory element continuing education requirement for registered representatives.
Responsible for monitoring outside business of registered representatives and amending Form U4s.
The Governance & Control (G&C) team provides support to management at the Group level as well as the Personal & Corporate Banking and Investment Bank Divisions.
Own the overall framework for internal governance.
Promote a standard approach to measuring the effectiveness of, and reporting on, the control environment
· Deliver an holistic picture of the Firm's control environment and managing the associated control issues
This is a Senior Manager role within the Conformance & Assurance team, which h…
Applicant should be a seasoned compliance professional with at least 10 years of compliance experience within an asset management organization. Individual should have at least 5 years providing direct supervision. The applicant should be able provide oversight in the following areas and also strategic direction.
Primary Oversight Responsibilities:
Code of Ethics and Personal Trading Compliance program
Preclearance, Post Trade Monitoring and Employee Certifications
Outside Business Activity reviews
Other Employee Conduct & Regulatory pol…
The AML Compliance Manager for Funds will provide AML and sanctions-related support and advisory services to Firm's public and private funds. The role will be the designated AML Officer for the Funds and will be listed in the Funds' disclosure documents.
Key responsibilities will include:
Provide AML and Sanctions-related advisory services to Firm's public and private funds
Attend fund board meetings
Conduct AML-related due diligence on the transfer agent and distributor of the funds
Update fund policies and procedures for AML and Sanctio…
Our client is a top tier investment management firm seeking to add to it's growing Compliance division.
The Compliance Analyst is part of a small team performing the compliance review and approval of marketing material for content and disclosure prior to distribution. Marketing material is primarily print format. They are also responsible for providing timely compliance advice and guidance to marketing and the business and developing internal policy and procedures when needed.
Prospect presentations, Product profiles, Commentari…
Our client a global investment bank seeks to add a Director level hire to lead their Regulatory Relations & Examinations division.
Assist in leading examinations across all US Regulators
Advisory role with Control Functions and the business
Serve as a primary liaison for Regulators with regards to a specific function(s) or practice
Regular and frequent interaction with senior management and Regulators on global issues
Represent the Regulatory Relations function in all meetings with Regulators
Train/educate and potentially manage colleague…
Our client, a global investment bank seeks a Control Room Surveillance Manager to oversee a team of 2-3 Analysts / AVP's. An excellent a highly visible management opportunity within the Global Compliance division.
Manage the US Control Room Surveillance team, which includes the daily oversight of the responsibilities listed below:
Manage the Surveillance function of the Control Room.
Work with Compliance IT in the development, review and testing of new surveillance models.
Conduct daily analysis of Firmwide infor…
City Investment Bank is looking to hire a temporary worker for a minimum of 1- year. Candidate must have 1- 2 year's relevant AML/ KYC Client Onboarding, or Remediation knowledge.
Robert Half Financial Services is currently recruiting for a City Based Investment bank. Due to the FATCA legislation, the business is currently seeking a strong AML/ KYC/Client Remediation/ FATCA candidate.
The ideal candidate must have strong working experience of AML/KYC gained within an established Brokerage, or Investment Bank. The position is temp…
You will perform IB Fraud investigations globally and leading investigations relating to unusual trading behaviour through the use of business analytics and intelligence systems. You will face off to Trading supervisors, challenging any ambiguity and also liaising with HR, Legal & Compliance where appropriate.
The Corporate Center ensures that our business divisions operate as a coherent and effective whole by providing and managing support and control functions for the business divisions and the Group including risk management and contro…
This is a fantastic role for a compliance professional with at least one year’s experience. The role will combine excellent support and training from the Head of Compliance with autonomy and responsibility in a progressive environment.
The firm is a specialist investment manager in London and this is a brand new role to support the Head of Compliance for the UK.
The role will include:
Supporting the development and implementation of policies, processes and procedures to comply with FCA regulatory requirements
Supporting compliance testi…
A highly successful Discretionary Wealth Manager is looking for a new Senior Compliance Analyst to join its London Office.
The primary purpose of the role is to develop and execute the compliance monitoring plan.
The key responsibilities of the role are as follows:
To work with the IT department to develop the monitoring procedures within the business
To implement and execute the compliance monitoring procedures
To analyse breaches and any error reports to ensure that appropriate action has been taken
To coordinate submissions to Manage…
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethi…
Legal Counsel for Wealth Management Americas (International) A position has arisen in ZÃ¼rich for an experienced person as
Legal Counsel for Wealth Management Americas (International)
Legal Wealth Management Americas (International) is a team of specialized lawyers forming part of the Legal department in ZÃ¼rich, focusing on legal and regulatory matters to UBS's Wealth Management business with clients resident in the USA, Canada, Latin America and the Caribbean.
The main focus of your role will be:
• Monitor changes i…
AML Consultant required to work for a prestigious global investment bank, based in New York City.
Our client provides large corporate, government and institutional clients with a full spectrum of solutions to their strategic advisory, financing and risk management needs. They are one of the largest financial services providers in the world, and are also engaged in retail banking, credit cards, corporate banking, and wealth and investment management.
The AML Consultant will be part of the the Investigations & Sur…
USD65 - USD75 per hour
Manhattan, NY, USA
Contract, Full time
Michael Page International - US
Posted on: 20 Nov 14