Compliance/Legal: currently 747 jobs.The latest job was posted on 23 Oct 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.
As part of PwC's Financial Services Risk & Regulatory practice, we work closely with colleagues in other disciplines delivering solutions. We are seeking to supplement the existing regulatory advice team with new talent at Senior Associate level to operate within the Life Insurance market.
Who we’re looking for
We’re a market leading Financial Services Risk & Regulatory team with a successful track record in providing regulatory consultancy advice to clients across a broad spectrum of the life insurance sector. We have significant growth …
A regional M&A and corporate finance advisory firm is looking for a compliance manager to join their team in Singapore.
Monitor and keep up to date with legal and regulatory requirements for the business, advising the business and updating internal polices and procedures where necessary
Maintain standard operating procedures, ensuring appropriate level of compliance by the business
Review and ensure due diligence process is executed in compliance with relevant regulations and policies
Manage internal and external audits,…
Permanent, Full time
Argyll Scott Singapore Pte Ltd
, EA Licence No:
*Our client, an International Private Bank is looking to appoint a Head of Compliance based in London*
My client is an International Private Bank with extensive operations throughout the world including Switzerland, Asia, the UK and the US. As part of an internal Group re-structure they are looking to appoint a Head of Compliance based in London.
Suitable applicants must have worked in a UK Head of Compliance role within Financial Services, preferably at a Private Bank and have experience of managing a wider team of support staff. A legal…
My client a Leading Investment Management firm are currently recruiting for a Legal and Compliance Analyst to work with their London based Compliance Advisory team and their German Legal team.
The role will involve providing advice to the buisness on German regulatory requirements in conjunctionwith the London Marketing and Distribution Compliance Team.
The successful candidate will be fluent in German aswell as have experience working for an Asset Management Firm/ Global Organisation.
Experience of applicable pan - E…
A world leading scientific investment management company with $26bn+ AUM seeks a talented Compliance Analyst to assist the Head of Compliance (US) regarding the oversight of our rapidly growing US office as well as maintenance of regulatory obligations under US licences in UK and US.
The successful candidate will have exposure to derivative products, detailed execution and operations of an alternative asset manager, global marketing and distribution, and mutual funds.
Key Responsibilities and Accountabilities:
Monitoring of the activ…
Paragon Executive Intelligence is an international boutique search and selection firm based in Dublin & London and we are currently looking for an outstanding individual to set up and grow the Compliance division.
Senior Consultant – Compliance
Paragon Executive Intelligence is a dynamic and international boutique search and selection firm based in Dublin. The brand celebrates 10 years this year and has had unrivalled success with senior recruitment mandates within the global investment industry. Our success is built from energy and pass…
As one of the world’s leading investment banks, our client has an extensive history in the Asia Pacific region. A key leadership position has arisen for a senior compliance professional with strong fixed income knowledge to join the Hong Kong team.
Asia Pacific Focus
Top Tier Investment Bank
Key Leadership Position
The key responsibilities for this position are as follows:
Advise the business on key compliance and regulatory risks and offer practical and timely solutions to address and mitigate these risks.
Provide compliance advice and o…
Leading asset manager requires a compliance manager to cover monitoring and surveillance activities and give advisory support to investment managers.
In the role you will be responsible for conducting compliance monitoring activities to obtain reasonable assurance that the relevant internal policies, procedures and applicable laws and regulations are adhered to
Monitor trading and other investment activities
Ensure adequate controls are in place to assure compliance with regulations and internal policies
Investigating, analysing and provi…
This role looks over financial crimes security and investigations.
This is a newly created role within a top tier bank, the exposure this role gives spans the entire bank and all of its divisions at a group level, the scope includes investigations of security incidents and compliance breaches across the bank.
For this role you need to be a proactive person with a background within Law enforcement or financial crime, having gained banking specific experience. Related fraud and investigations experience is a big plus.
This role reports in…
Purpose of the role:
• RBS operates a Three Lines of Defence model to risk management, where the independent Second Line, is accountable for owning and developing the risk and control frameworks and tools, which the First Line uses to discharge its responsibilities. The Second Line is accountable for overseeing and challenging the First Line on the effective management of its risks. Externally, the role of the Second Line is pivotal from a regulator perspective, and influences how for ex…
You will be responsible for regulatory returns within the bank in accordance with MAS regulations and Basel III. You will enhance current processes to ensure strong analysis and control is maintained and will be involved in developing and building of the regulatory and reporting framework.
You will be involved in the Compliance of MAS and other local regulatory requirements. You will be the subject matter expert on regulatory and Basel III requirements and will provide technical guidance and advice on such matters. …
Our Global Banking client is currently in need of a VP level Project Manager with a Management Consulting background to join their Zurich office.
As a VP Project Manager you should be experienced in the delivery of projects - specifically working in projects with a Global focus. You will be working Cross functionally on complex, Business critical and large impact projects that involve regulations, implemenation, change, governance, the setting up legal entities, organisation optimisation and strategy development on a global scale.
BSM Associates are representing a leading Bank in their search for a Head of Wholesale Compliance.
BSM Associates are representing a leading Bank in their search for a Head of Wholesale Compliance.
The ideal candidate will have the following competencies:
Regulatory Knowledge as applicable to role
Coaching & Assessment
Senior compliance individual with a number of years of experience
Strong team management/people skills
Strategic thinking to ensure areas of responsibility develops and changes along with the business and regulatory world
This is an exclusive role in a Premier European Corporate bank.
This Premier International company is offering a great new role for a Compliance Officer. They are based in the very heart of the City of London and are a mature, professional company with a good work-life balance. The Compliance Officer will be reporting directly to the Global Head of Compliance, and this role gives a great opportunity for long term career development within the firm. Following a recent reorganisation, the company is looking to add this additional position t…
Die Deutsche Bank ist Tag für Tag zahlreichen Risiken ausgesetzt, die sich auf ihre Reputation und ihr Kapital auswirken können sowie ein professionelles Risikomanagement erfordern. Die Nichteinhaltung von Vorschriften kann das Geschäft der Bank negativ beeinflussen. Compliance obliegt deshalb mit der Identifizierung und Steuerung regulatorischer Vorschriften und Risiken eine sehr wichtige Aufgabe.
Die Sicherstellung der Einhaltung kapitalmarktrechtlicher und ethi…
Our client, a leading international financial services company and a member of the Fortune 500, is seeking an experienced compliance professional to join its Hong Kong office.
Highly-respected international financial services company
Friendly and supportive work environment
Great opportunity for career progression
As Senior Compliance Manager/Compliance Manager, you will be responsible for partnering with senior management in maintaining and enhancing compliance standards. You will implement effective compliance programs and guidelines i…
Our Client, an European Bank is looking for an experienced investment product compliance professional to join their growing team. This is a newly created position reporting directly to the Head of Compliance.
Advise management and relevant business units on compliance-related issues
Develop, update and review compliance policies and guidelines
Review policies and procedures prepared by other departments and provide input to ensure compliance with applicable legal and regulatory requirements
The client company - a single Family Office - based in Zurich is looking for a Company Secretary (60% Company Secretary, 40% right hand to CEO). The idea is to develop into a COO role.
The client company
The client company is a single Family Office based in Zurich with offices in the United Kingdom, providing investment advice and management support to the trusts and investment companies associated with the Principal Family Trusts.
The origin of the Family Office dates back to 1996, when it was set up to provide Wealth Management, Tax, Le…
A European Investment Bank is recruiting a KYC Officer to join their friendly team.
A European Investment Bank is recruiting a KYC Officer to join their friendly team. The bank is part of an International Banking group, which is one of the largest Financial Institutions.
The KYC Officer is a rounded role, which involves the Onboarding for all level risk customers, review and refresh of existing as well of maintenance of the client database. The role will involve sanction screening and advising any rising issues to senior management where …
We’re currently looking for an experienced Senior Manager to join our Banking & Capital Markets Financial Services Risk and Regulation Practice. We’re a market leading Financial Services regulatory consulting team with a successful track record in providing consultancy services and advice to clients across the banking and capital market sector; including global investment banks, UK FTSE banks, brokers, smaller to mid-sized firms and regulatory bodies.
This role involves working with our clients, to provide advice and…
Fitch Ratings is seeking a Interim to focus on Regulatory Compliance with a focus on EMEA & Asia-Pacific.
The Global Compliance Group is responsible for compliance and regulatory matters for Fitch's business globally. The Group covers regulatory compliance, personal conflicts monitoring, general compliance monitoring and compliance audit and comprises staff based in London, Moscow, New York and Brazil. A Compliance Interim is now sought to support the Regulatory Compliance team based in London.
The Regulatory Compliance …
The Global Control Room's primary function is to manage the implementation of the firm's Information Wall policies and other related policies and procedures. The role provides local oversight of the Associate Investment Monitoring Team in London.
You will manage the Information Wall compliance program within EMEA and exercise judgement and influence business managers and peers to ensure enforcement of Information Wall policies and procedures. You will contribute to the development, implementation and communication of Control Room goals an…
The Career Opportunity: This role will allow the incumbent to develop deep technical expertise within risk and compliance in a commodities environment and draw upon regulatory experience (FCA / IOSCO) to ensure Platts maintains its compliance.
The Role: The Risk and Compliance Manager EMEA (RCM) is accountable for producing analytical reports on business risk occurring outside of accepted risk appetite and compliance monitoring and reporting for Platts. The RCM will be responsible for delivering all Risk Assessment progra…
London, England, United Kingdom
Permanent, Full time
Posted on: 23 Oct 14