 |
|
| |
|
|
| |
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
| Manager, Risk and Compliance | RBF Competitive remuneration | Australia-Hobart | 11 May 12 |
|---|
Experienced person required to manage the RBF Risk and Compliance Unit.
| Sr Analyst, Investment Compliance | The Northern Trust Company (Singapore Branch) Competitive | Australia-Melbourne | 15 May 12 |
|---|
This position is open to be based in Melbourne, Australia.
| Operational Risk Advisory | Marshall Mcadam Broad salary range | Australia-Perth | 14 May 12 |
|---|
This top tier consultancy is growing. With a pipeline of diverse and challenging Op Risk work, they are seekin...
| Audit / Compliance | Profusion Group Associate Director level | Australia-Sydney | 17 May 12 |
|---|
Investment Banking Risk Management team - asses the degree of compliance to policies procedures and external r...
| Registrations Compliance Officer | Morgan McKinley NA | Australia-Sydney | 16 May 12 |
|---|
$120k to $140k package - 9-12 months - Fixed Term Contract This long term contract gives you the opportunity t...
| LEGAL - Legal Secretary - Contract | Deutsche Bank not disclosed | Australia-Sydney | 15 May 12 |
|---|
See job description below
| Operational Manager - Operations/Process Improvement - $120k+ | Robert Walters AU$100000 - AU$120000 per annum + BONUS | Australia-Sydney | 15 May 12 |
|---|
New role is now available at a prestigious international bank responsible for managing Operational Risk in a f...
| Operational Manager - Operations/Process Improvement - $120k+ | Robert Walters AU$100000 - AU$120000 per annum + BONUS | Australia-Sydney | 15 May 12 |
|---|
New role is now available at a prestigious international bank responsible for managing Operational Risk in a f...
| Compliance Manager | Ethos Corporation NEG | Australia-Sydney | 15 May 12 |
|---|
An outstanding opportunity exists for a Compliance Manager to join a leading global bank
| Manager | KPMG Package including superannuation | Australia-Sydney | 14 May 12 |
|---|
Support the National Board & NEC
| Quality Assurance Specialist | Porterallen 85000 | Australia-Sydney | 14 May 12 |
|---|
Leading Medical Indemnity Organisation currently require an experienced Quality Assurance Specialist.
| Quality Assurance Specialist | Porterallen 85000 | Australia-Sydney | 14 May 12 |
|---|
Leading Medical Indemnity Organisation currently require an experienced Quality Assurance Specialist.
| Business & Process Analysts | Compliance (FATCA) Market Rates | Bluefin Resources AU$0.00 per annum | Australia-Sydney | 11 May 12 |
|---|
.
| Test & Vacancy Only | Not Disclosed Salary description goes here | Bangladesh | 31 Oct 11 |
|---|
Job summary field. This is just a test job. Please do not apply.
| (SENIOR) TAX CONSULTANT - GLOBAL EMPLOYER SOLUTIONS | Deloitte a competitive remuneration package | Belgium-Brussels Region | 30 Apr 12 |
|---|
The Global Employer Services department (GES) provides companies with support and advice, on a worldwide basis...
| Senior Manager / Director Insurance Industry (Operational Excellence) | Deloitte. An attractive and competitive salary wit... | Belgium-Brussels Region | 30 Apr 12 |
|---|
You will support our clients, through various project assignments, in identifying & delivering tailored soluti...
| Senior Consultant / Manager Banking Industry (Operational Excellence) | Deloitte. An attractive and competitive salary wit... | Belgium-Brussels Region | 30 Apr 12 |
|---|
You will support our clients, through various project assignments, in identifying & delivering tailored soluti...
| Compliance Officer Retail and Private Banking | BNP Paribas Fortis Competitief | Belgium-Brussels Region | 14 May 12 |
|---|
Binnen Compliance Retail en Private Banking zijn wij op zoek naar een medewerker voor het team Retail and Priv...
| Anti-Money Laundering / AML Manager | ICBC Competitive | China-Beijing | 16 May 12 |
|---|
ICBC head quarter is looking for Anti-Money Laundering / AML Manager with overses anti-money laundering exper...
| Board of Secretary | UBS Securities Market Competitive | China-Beijing | 16 May 12 |
|---|
A role sitting under UBSS's managament office, corporate center.
| IBD COO | UBS Securities Market Competitive | China-Beijing | 16 May 12 |
|---|
Reporting to senior management of UBS-S IBD, the UBS-S IBD COO will be responsible to work with different func...
| COO, Investment Banking China -- a Top Tier Securities JV | Michael Page International - China Compensation will be attractive and comm... | China-Beijing | 15 May 12 |
|---|
Our client is a top tier Securities JV with a presence across mainland China and a global brand name. This is ...
| Compliance, VP, Leading Securities House, Beijing | Michael Page International - China Competitive salary package | China-Beijing | 15 May 12 |
|---|
Our client is a leading Securities House based in Beijing. They are seeking for a Compliance VP to join their ...
| Regional Compliance Manager | Michael Page International - China Attractive Package | China-Chongqing | 15 May 12 |
|---|
Our client is a leading foreign bank with wide coverage of business.
| Chief Internal Auditor | Global Associates Competitive | China-Chongqing | 14 May 12 |
|---|
To cope with the China development, a foreign banking financial group is looking for a qualified leader to tak...
| Internal Auditor | Career International Shanghai Open | China-Shanghai | 15 May 12 |
|---|
Report to China Head of Internal Auditor & Asian Head of Internal Auditor Primary Location: Shanghai
| Senior Compliance Manager – EFNC/CN74704/MSON | Hudson - China Competitive | China-Shanghai | 15 May 12 |
|---|
A reputable JV fund house is looking for Senior Compliance Manager for it's newly setup Hong Kong Office.
| Mid Level and Senior Corporate Lawyers | Barclay Simpson US/Magic Circle Market Rate | China-Shanghai | 08 May 12 |
|---|
Leading international US law firm looking to expand its Corporate Finance department in Shanghai or Hong Kong.
| Risk Manager | Kingsley Adams Competitive plus excellent benefits | Cyprus | 14 May 12 |
|---|
This leading global financial services provider with a vast international presence is looking for an experienc...
| Risk Director | Webber Chase Ltd Competitive salary and bonus structure | Czech Republic | 14 May 12 |
|---|
international trading house looking for an experienced Market & Credit risk candidate willing to relocate in E...
