 |
|
| |
|
|
| |
You refined by
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.
Show more » « Show less
| Branch Manager | 360 Search Attractive remuneration package commensu... | Ireland-Dublin | 14 May 12 |
|---|
Our client is seeking to recruit a high calibre insurance professional with management experience. Branch mana...
| Tax Executive | Adecco Italia S.p.A. Gross Salary will be commensurate with t... | Italy-Lazio | 01 May 12 |
|---|
Tax Executive
| Project Programme Manager ARROW MIFID FATCA Regulatory & Compliance Change KYC Investment Bank | Adlam Consulting Ltd £700+ /day | UK-London | 15 May 12 |
|---|
Senior Project Manager/Program Manager Very high profile role.Extensive experience of Compliance Best Practice...
| Chief Operating Officer (COO) | Advantage Professional Hong Kong Highly competitive | Hong Kong SAR | 14 May 12 |
|---|
Experienced COOs required for clients within the financial and professional services industries.
| Head of Contol & Governance, Asset/Fund Management | Agg Jones £80-100k Base + Excellent Benefits | UK-London | 15 May 12 |
|---|
Agg Jones are working with the Wealth arm of a Tier 1 Bank who are looking to appoint a Head of Control & Gove...
| Head of Compliance Business Advisory, Private Banking | Agg Jones c.£80-90,000 + Excellent Benefits | UK-London | 15 May 12 |
|---|
Agg Jones are currently working with the Wealth arm of a Tier 1 Bank who due to agressive growth plans are sca...
| LEGAL COUNSEL | AIA Group Competitive local terms | Hong Kong SAR | 14 May 12 |
|---|
As a leading life insurer, AIA's success is built on experience gained from serving the world's most dynamic r...
| Vice President | AIG NA | USA-NY-New York City | 02 May 12 |
|---|
.
| Global IT Compliance Leader | AIG NA | USA-TX-Houston | 01 May 12 |
|---|
.
| IT Compliance Specialist | AIG NA | USA-TX-Houston | 01 May 12 |
|---|
.
| VP, Compliance Audit | Aim Higher Consultancy Limited Above 1M | Hong Kong SAR | 11 May 12 |
|---|
Our client, a top tier investment bank, is currently looking for a high caliber individual to join their inter...
| Senior Wealth & Tax Planner | UK desk | Albert Cliff Competitive | Switzerland-Zurich | 16 May 12 |
|---|
Albert Cliff is proud to work alongside one of Switzerland's top private banks - its name being synonymous wit...
| Senior Wealth/Tax Planner - UK coverage (Zurich based) | Albert Cliff Ltd Competitive | UK-London | 16 May 12 |
|---|
Albert Cliff is proud to work alongside one of Switzerland's top private banks - its name being synonymous wit...
| Senior Counsel | Aldrich and Company Competitive | Ireland-Dublin | 14 May 12 |
|---|
Our client, a top-tier global financial services group that has significant growth plans, needs to support the...
| Wealth Management, Compliance Manager | ALS International Competitive Package | Hong Kong SAR | 17 May 12 |
|---|
Global Financial Services . Newly Created Role . Expanding Business . Good Internal Mobility
| Senior AML Compliance Manager – Financial Institution | ALS International HKD80-100k per month | Hong Kong SAR | 14 May 12 |
|---|
Team Management . Newly Created Role . Expanding Business . Good Career Progression
| Singapore Compliance Manager | ALS International Attractive | Singapore | 14 May 12 |
|---|
Our client, a US based investment management company, is seeking a compliance manager for its Singapore office...
| Legal Counsel, Technology Law | ALS International Attractive | Singapore | 14 May 12 |
|---|
Our client is an international investment bank and they are currently seeking two experienced Legal Counsel, ...
| Compliance Manager / Marketing & Distribution | Altus Search £50,000 - £70,000 | UK-London | 15 May 12 |
|---|
Compliance Manager / Marketing & Distribution
| Senior Compliance Advisory Manager / Private Banking | Altus Search £100,000 to £120,000 | UK-London | 15 May 12 |
|---|
Senior Compliance Advisory Manager / Private Banking
| Advisory Compliance Manager / Fixed Income | Altus Search £80,000 to £100,000 | UK-London | 15 May 12 |
|---|
Advisory Compliance Manager / Fixed Income
| Compliance Advisory / Retail Banking (6 months contract) | Altus Search £500 per day | UK-London | 15 May 12 |
|---|
Compliance Advisory / Retail Banking (6 months contract)
| Compliance Officer - Markets / Investment Banking | Altus Search £50,000 to £60,000 | UK-London | 15 May 12 |
|---|
Compliance Officer Markets / Investment Banking
| Compliance Adviser | Ambition Group Singapore (Licence No. 10C5117) Attractive Salary Package | Singapore | 11 May 12 |
|---|
Compliance Adviser (AVP/VP) for Private Bank!
| Equities Compliance - VP | Ambition Hong Kong Excellent Salary & Benefits | Hong Kong SAR | 15 May 12 |
|---|
Senior Level Equities Compliance role with a leading Investment Bank
| Wholesale Banking Compliance - AVP/VP | Ambition Hong Kong Attractive Salary Package | Hong Kong SAR | 15 May 12 |
|---|
Treasury Compliance role with a Leading Wholesale Bank
| VP, Internal Audit, Regional Coverage | Ambition Hong Kong Attractive Base Salary + Bonuses | Hong Kong SAR | 15 May 12 |
|---|
A well-respected Audit function is seeking a high-calibre Audit Professional to join the Asia Regional Team..........
| VP Compliance, Wealth Management | Ambition Hong Kong Competitive Salary and Benefits | Hong Kong SAR | 15 May 12 |
|---|
Wealth Management Compliance Role with a Leading Global Bank
| Group Investments Compliance Analyst | Amlin Plc £35,000-£43,000 | UK-London | 14 May 12 |
|---|
If you're a highly motivated Compliance Analyst with a good understanding of investment regulations and impres...
| Account Opening Executive | Anderson Red £45k – £50k + Excellent Benefits | UK-London | 27 Apr 12 |
|---|
Responsible for implementing the Company's Account Opening Procedures. Accountable for ensuring that the Compa...
