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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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| Compliance Officer – Asset Management | Jigsaw Search £35k-£55k - Dependant on Experience | UK-London | 22 Feb 12 |
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A well-established Asset Manager based in London, who have seen some excellent growth are in need of an additi...
| Senior Compliance Officer / Debt Capital Markets | Altus Search £95k - £115K | UK-London | 22 Feb 12 |
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Senior Compliance Officer / Debt Capital Markets
| Anti Money Laundering Officer / Investment Banking | Altus Search £50,000 - £70,000 | UK-London | 22 Feb 12 |
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Anti Money Laundering Officer / Investment Banking
| Anti Money Laundering Analyst / Investment Banking | Altus Search £40,000 - £50,000 | UK-London | 22 Feb 12 |
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Anti Money Laundering Analyst / Investment Banking
| Compliance Monitoring Manager | Hudson Banking £65-70,000.00 | UK-London | 22 Feb 12 |
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Our client is a leading asset manager that requires an experienced compliance professional within compliance m...
| Project Finance Structurer - Legal Specialist | Michael Page Financial Services £80k + benefits + bonus | UK-London | 22 Feb 12 |
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Project Finance Structurer - Legal Specialist is required for a leading International Bank's Infrastructure & ...
| Hedge Fund Financial Control and Compliance Manager | Bridgeman International £good+ £good bonus | UK-London | 22 Feb 12 |
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Outstanding opportunity to join a boutique and highly successful hedge fund, based in central London.
| ***URGENT*** Compliance Contractor – Insurance | Eames Consulting -Compliance Up to £400 per day | UK-London | 22 Feb 12 |
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An excellent opportunity for a Compliance professional within the Insurance industry.
| Senior AML Manager | Finance Professionals £60 per annum + 20% Cash benefits | UK-South East | 22 Feb 12 |
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New Opportunity for a senior compliance manager with strong financial crime experience to join a renownend ass...
| Compliance Marketing Officer-Investment Management-£40k-£60k | Eames Consulting -Compliance £40k-£60k | UK-London | 22 Feb 12 |
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This is a fantastic opportunity to work for a successful investment management firm in an interesting role wit...
| Regulatory Business Analyst - BAU/Projects - FSA/BoE Reports, Reconciliations £500-550 per day | Spencer Rose £500-550 | UK-London | 22 Feb 12 |
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Regulatory Business Analyst - BAU/Projects - FSA/BoE Reports, Reconciliations £500-550 per day. Defining requi...
| Senior Credit Securitization Advisor or Securitization Lawyer | Hudson Banking Excellent base , bonus and very competit... | UK-London | 22 Feb 12 |
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Global Investment Bank is looking for a Senior Regulatory Advisor/Securitization Lawyer who will be responsib...
| Senior Compliance Manager - Sales and Marketing | Finance Professionals £45000 - £65000 per annum + Benefits | UK-London | 22 Feb 12 |
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This Globally renowned investment management company is looking for a charismatic compliance professional with...
| Head of Regulatory Policy and Production | MC Partners Ltd. £130,000+ | UK-London | 22 Feb 12 |
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A fantastic opportunity has arisen to join a Globally recognised Securities and Investment Bank. As Head of Re...
| Liquidity Regulatory Reporting Manager | MC Partners Ltd. £65,000 | UK-London | 22 Feb 12 |
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A leading Investment Bank is looking for a Liquidity Regulatory Reporting Accountant to help with the system i...
| Head of Regulatory Reporting EMEA | MC Partners Ltd. £80,000 - £90,000 | UK-London | 22 Feb 12 |
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A Global Brokerage firm is currently seeking the expertise of an experienced Regulatory professional to overse...
| Regulatory Finance - Liquidity Analyst | MC Partners Ltd. £50,000-£60,000 | UK-London | 22 Feb 12 |
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A great opportunity has arisen to join a Global Investment Bank within the regulatory department of Finance. T...
| Regulatory Reporting - Project Accountant | MC Partners Ltd. £60,000 | UK-London | 22 Feb 12 |
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A brilliant opportunity has arisen to join a Growing Boutique Private Bank situated in the heart of the City. ...
| Deputy Head of Compliance Needed at Asset Manager | Real Staffing £60,000 - £75,000 pro rata | UK-London | 22 Feb 12 |
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An Institutional Asset Manager with over $50bn AUM has a new vacancy in it's compliance department at the Lond...
| Corporate Compliance Project Manager | Hudson IT £65k + bonus | UK-London | 22 Feb 12 |
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Compliance / Tax & Regulatory Project Management, M&A and New Business start up compliance
| ISDA Negotiator, London | Morgan McKinley £300 - £400 per day | UK-London | 22 Feb 12 |
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An excellent opportunity for an experienced ISDA Negotiator to join a top tier Investment Bank based in London...
| Senior Financial & Operational Controls Manager | Santander £60000 - £65000 per annum + Car Allowanc... | UK-South East | 22 Feb 12 |
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The DQSS (Data Quality and Structural Systems) team is at the heart of the Operational processes within Santan...
| CONTROL ROOM - Compliance Officer | Société Générale - UK Competitive | UK-London | 22 Feb 12 |
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Contract duration: 2 Month
| Senior In-House Legal Cousel | Aldrich and Company Competitive | UK-London | 22 Feb 12 |
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Our client, a top-tier global financial services group that has significant growth plans, needs to support the...
| Solvency II - Economic Capital Modeller | JCW Search £500-900 per day | UK-South East | 22 Feb 12 |
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Top Tier Insurance organisation is looking to hire an Economic capital modeller contractor
| Head of Sales and Trading Compliance | JCW Search £140,000 – £175, 000 Basic + Package + B... | UK-London | 22 Feb 12 |
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Head of Sales and Trading compliance position available with Major FTSE 100 organisation. Must have experience...
| MLRO and Compliance Officer | JCW Search £400 - £500 per day | UK-North West | 22 Feb 12 |
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MLRO – AML – Investment Management - 3 month contract
| Relationship Manager (Contract) | JCW Search £100 - £200 per day | UK-Edinburgh | 22 Feb 12 |
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Relationship Manager – Banking
| Independence Compliance Manager | Ernst & Young Competitive | UK-London | 22 Feb 12 |
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Independence Compliance Manager - London - Competitive .
| AML Due Diligence Associate | Walker Hamill £200 - £350 per day (dependant on experi... | UK-London | 22 Feb 12 |
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Experienced AML associates required for a 6 month maternity cover for an elite investment bank. You will condu...
