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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 Manager/AVP, Private Banking | Hudson Hong Kong Attractive Package | Hong Kong SAR | 17 May 12 |
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Great Career Exposure; Foreign International Private Bank; Attractive Remuneration Package
| Head of Compliance | Hudson Hong Kong competitive salary | Hong Kong SAR | 17 May 12 |
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A Reputable Chinese Securities Firm; Great Career Prospect; Competitive Compensation
| Wealth Management, Compliance Manager | ALS International Competitive Package | Hong Kong SAR | 17 May 12 |
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Global Financial Services . Newly Created Role . Expanding Business . Good Internal Mobility
| Audit / Compliance | Profusion Group Associate Director level | Australia-Sydney | 17 May 12 |
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Investment Banking Risk Management team - asses the degree of compliance to policies procedures and external r...
| Legal Counsel - VP - IB | ConnectedGroup Limited $70,000 to $90,000 (month) + bonus | Hong Kong SAR | 17 May 12 |
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New role created for expanding team in a major Investment Bank. Interviews commence w/c 21st May...............
| Asia Pacific Compliance Testing Group, Associate - Singapore | Goldman Sachs Competitive | Singapore | 17 May 12 |
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The Goldman Sachs Group is a leading global financial services firm providing investment banking, securities a...
| Compliance Division, Goldman Sachs Asset Management (GSAM) Compliance, Analyst / Associate - Singapore | Goldman Sachs Competitive | Singapore | 17 May 12 |
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The Goldman Sachs Group is a leading global financial services firm providing investment banking, securities a...
| Data Governance, Senior Manager | Kerry Consulting Pte Ltd (Licence No. 03C4828) salary & variable bonus | Singapore | 17 May 12 |
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You will work with the T&O Group in establishing and maintaining a framework, policies, procedures, processes,...
| Associate/Senior Associate, Client On-boarding and AML Compliance (Private Banking) | Kerry Consulting Pte Ltd (Licence No. 03C4828) Attractive Remuneration | Singapore | 17 May 12 |
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Our client is a major regional private bank and has received outstanding accolades consecutively in recent yea...
| VP, Compliance (Consumer & Wealth) | Kerry Consulting Pte Ltd (Licence No. 03C4828) Attractive Remuneration | Singapore | 17 May 12 |
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Reporting to the Singapore Head of Compliance, you will support the bank's consumer and wealth businesses
| VP, AML & Sanctions | Kerry Consulting Pte Ltd (Licence No. 03C4828) Attractive Remuneration | Singapore | 17 May 12 |
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Challenging role where you will provide leadership to promote compliance with the bank's Anti-Money-Laundering...
| Legal Counsel, Asia | Kerry Consulting Pte Ltd (Licence No. 03C4828) Attractive Remuneration | Singapore | 17 May 12 |
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Reporting to the Asia Head of Legal, you will responsible for providing commercial legal advice and support fo...
| Group IT Auditor – 4 years of experience | Interquest Asia Pte Ltd Competitive | Singapore | 17 May 12 |
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Our client is one of Singapore's leading local banks, they are currently looking for an IT Auditor with at lea...
| Head of Private Banking Compliance - Singapore | Standard Chartered Bank NA | Singapore | 17 May 12 |
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The role holder supports the Global Head of Compliance to provide Compliance team leadership and has responsib...
| AML-Sanctions & Regulatory | Pure Search Hong Kong Attractive | Japan-Tokyo | 17 May 12 |
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A fantastic AML opportunity with one of the largest and most diverse financial services firms in the world has...
| KYC Specialist | T+O+M Competitive | Singapore | 17 May 12 |
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An exciting new role in Client On-Boarding for a KYC Analyst! Friendly working environment aswell as great ca...
| Regional KYC Manager - APAC | T+O+M Competitive | Hong Kong SAR | 17 May 12 |
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Exciting career opportunity for a Regional KYC Manager! Growing team & competitive salary package!
| Compliance| AML | South East Asia | Singapore | Selby Jennings Singapore (Licence No. 11S3033) $6-7k SGD + benefits + bonus | Singapore | 17 May 12 |
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Top Japanese Bank seeks to hire a Compliance Analyst to oversee AML and CFT.
| Appointed Actuary | APAC | Asia Pacific | Selby Jennings Singapore (Licence No. 11S3033) Base Salary – US$100,000- US$140,000 (ne... | Singapore | 17 May 12 |
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Top insurance company with strong Global Presence seeks Appointed Actuary to head a team of professionals and ...
| Manager, Operational Risk & Compliance, Governance | ANZ not disclosed | New Zealand-Wellington | 16 May 12 |
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See job description below
| Compliance Business Analyst II | JPMorgan Chase not disclosed | Hong Kong SAR | 16 May 12 |
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See job description below
| Hong Kong - Senior Manager - Compliance, HKMA | Macquarie Information not provided | Hong Kong SAR | 16 May 12 |
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This role requires a highly experienced senior manager with solid experience communicating with HKMA regulator...
| VP/Project Manager – Compliance Technology Wholesale Banking – Global Bank | Argyll Scott Singapore Pte Ltd (11C3721) SGD150k - 200k | Singapore | 16 May 12 |
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Global bank is looking for two project managers to oversee the delivery and implementation of its compliance s...
| Consultant(Level 2/Level 3) | Kelly Selection Singapore (Licence No. 01C4394) Competitive | Singapore | 16 May 12 |
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Our client, a industry leader in delivering technology solutions for business/e-commerce and specializing in f...
| Legal Counsel | Morgan McKinley NA | Singapore | 16 May 12 |
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A highly reputable hedge fund based in Singapore is looking for a 4-6 year qualified lawyer to support the hea...
| Senior Compliance Manager/ Officer for Head of Compliance role -- INVESTMENT BANKING. | Asia | | Carlton CP Very Competitive | Hong Kong SAR | 16 May 12 |
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My client is a top tier bank based in Hong -Kong looking for a Senior Compliance Manager to step in to a Head...
| Risk - Compliance Central Services, Position Reporting Group (AVP) | Deutsche Bank not disclosed | Hong Kong SAR | 16 May 12 |
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Compliance Central Services forms part of Risk Operations and provides operational services and change managem...
| Audit - Principal Auditor, Compliance & Risk (VP) | Deutsche Bank not disclosed | Hong Kong SAR | 16 May 12 |
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Group Audit is a team that prides itself in establishing the highest standard in professional delivery and is ...
| Business Risk Specialist | UBS AG Competitive | Hong Kong SAR | 16 May 12 |
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An exciting opportunity has arisen to join UBS as a Business Risk Specialist.
| Executive Assistant / Business Manager | UBS AG Competitive | Singapore | 16 May 12 |
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An exciting opportunity has arisen to join UBS as an Executive Assistant / Business Manager.
