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Job sector
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
| 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...............
| 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 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...
| 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.
| Compliance Expert, Wealth Management | UBS AG Competitive | Hong Kong SAR | 16 May 12 |
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An exciting opportunity has arisen to join UBS as a Compliance Expert, Wealth Management.
| Legal Counsel - Global Asset Management | UBS AG Competitive | Hong Kong SAR | 16 May 12 |
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An exciting opportunity has arisen to join UBS as a Legal Counsel - Global Asset Management.
| Senior Assistant Company Secretary | Taylor Root Hong Kong Very Competitive | Hong Kong SAR | 16 May 12 |
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Our client, a leading investment bank, has an opening for an experienced Company Secretary to join its Company...
| AVP AML / Trade Surveillance Compliance - Investment Banking :: Regional Exposure | Aston Carter (Singapore) (Licence no. 07C3347) Competitive | Hong Kong SAR | 16 May 12 |
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AML, Financial Crime, KYC, Compliance, Trade, Surveillance, Investigations, Bribery, Fraud
| Compliance Project Manager | ConnectedGroup Limited Competitive | Hong Kong SAR | 16 May 12 |
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A leading IB are currently searching for Compliance PM - it could be you! They will support the COO in the exe...
| Senior Compliance Manager | Oxygen Executive Dependant on experience | Hong Kong SAR | 16 May 12 |
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Management position Work with a Global Investment Bank Great opportunity for someone with legal background ...
| Assistant Vice President, Advisory Sales, Treasury & Markets | DBS Bank (Hong Kong) Limited Competitive | Hong Kong SAR | 16 May 12 |
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DBS. Living, Breathing Asia.
| AML/ Account Opening Compliance Manager | Taylor Root Hong Kong Attractive Remuneration | Hong Kong SAR | 16 May 12 |
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Newly created AML / Account opening role within leading bank organisation.
| Legal Counsel Insurance | Taylor Root Hong Kong Attractive Remuneration | Hong Kong SAR | 16 May 12 |
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Excellent opportunity to join this high profile Insurance and AM business in either HK or Singapore.
| Legal Director Asia - DCM - Hong Kong or Singapore | Taylor Root Hong Kong Attractive Remuneration | Hong Kong SAR | 16 May 12 |
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Career enhancing opportunity. Newly created position as the first Asia based In-House Counsel at this prestigi...
| General Counsel and Chief Compliance Officer Asia Pacific | Taylor Root Hong Kong NA | Hong Kong SAR | 16 May 12 |
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Our client is a leading banking technology organisation with a growing presence in Asia. They require a season...
| Risk - Control Room (AVP) | Deutsche Bank not disclosed | Hong Kong SAR | 15 May 12 |
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Part of the Compliance Operations function which provides operational services and change management capabilit...
| Hong Kong - Associate Director, AML/CTF Compliance - Regional Role | Macquarie Information not provided | Hong Kong SAR | 15 May 12 |
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We are currently seeking a highly experienced, regional director level candidate in Anti-Money Laundering to m...
| VP Central Compliance – Licensing and Registration | ConnectedGroup Limited Competitive Salary | Hong Kong SAR | 15 May 12 |
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Become the SME in Corporate Disclosures and Licensing matters***Join a leading International Investment Bank**...
| AVP Compliance Testing (Investment Bank), Big 4 Candidates, 50-60k | Robert Half Hong Kong 50K - 60K | Hong Kong SAR | 15 May 12 |
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A fantastic opportunity for an experienced auditor to step foot into compliance with one of the most recogniza...
| AML COMPLIANCE Contract | Hays Banking Hong Kong attractive salary | Hong Kong SAR | 15 May 12 |
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Implementing and disseminating group policies and regulatory requirements on anti-money laundering will be a k...
| VP Regional Compliance Advisor | Talent2 Hong Kong Attractive | Hong Kong SAR | 15 May 12 |
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This is a newly created role and the team is seeking for a AVP-VP Regional Compliance Advisory to join the AML...
| Senior Compliance Manager – Asset Management | Talent2 Hong Kong Attractive | Hong Kong SAR | 15 May 12 |
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Top tier Asset Management firm is seeking an AVP in Compliance. The team and the member will support the busin...
| Vice President, Compliance & Control, Investment Bank | Profile Search & Selection Attractive Benefits Package | Hong Kong SAR | 15 May 12 |
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Our client is an international investment bank which is expanding it's operations across Asia Pacific. In a mo...
