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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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| Lawyer | Wellington Management Company, LLP Competitive | USA-London | 17 May 12 |
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Lawyer
| Data Warehouse Designer | Synechron Inc DOE | USA-CT-Hartford | 17 May 12 |
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Synechron, Inc. is seeking a Senior Data Warehouse Designer / SQL Server DBA. The selected candidate will lead...
| BI Lead/ Lead MSBI | Synechron Inc DOE | USA-CT-Hartford | 17 May 12 |
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Synechron, Inc. is seeking a Senior ETL Technical Lead. The selected candidate will be part of a global team w...
| Inquiries Group Analyst | Morgan Stanley not disclosed | USA-NY-New York City | 16 May 12 |
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See job description below
| Private Equity Legal Associate | Michael Page International 65,000 -85,000+ 20% bonus | USA-MA-Boston North | 16 May 12 |
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Our client is a top tier private equity firm with a variety of strategies. They are looking to add a paralegal...
| Compliance Officer | Western Asset Management Company Competitive | USA-CA-Pasadena | 16 May 12 |
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Individual will ensure client portfolios are invested in accordance with client guidelines, internal policies ...
| Dodd-Frank BA | TwoFour Systems $90/hr | USA-MA-Boston | 16 May 12 |
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Our client needs to validate changes to workflows for FX & Collateral businesses in light of clearing trades i...
| Compliance Officer - Possible CCO | Hold Brothers Capital, LLC TBD | USA-NY-New York City | 16 May 12 |
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International Day Trading Firm is seeking a Compliance Officer to oversee our trading teams, monitor firm ri...
| Senior Broker Dealer Compliance specialist with Emerging Markets experience sought by Top Fund | Selby Jennings QRF Above market value | USA-CT-Greenwich | 16 May 12 |
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Brief Description
| Regulatory/Compliance Assistant (Paralegal) | Newedge not disclosed | USA-NY-New York City | 16 May 12 |
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See job description below
| Director, Credit Risk | Not Disclosed $175k base salary, plus substantial annu... | USA-DC-Washington/Metro | 16 May 12 |
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Lead the expansion, development, and implementation of a cutting edge Credit Risk platform. Oversight of Mode...
| Director of Fair Lending Compliance - Columbus, OH | Huxley US$100000 - US$150000 per annum | USA-OH-Columbus | 15 May 12 |
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Looking for a compliance officer with 5-7 years of experience in Fair Lending/housing with strong data-driven ...
| Engagement Manager – Anti Money Laundering Advisory | E. D. Starr & Company Competitive | USA-NY-New York City | 15 May 12 |
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Global Leader in Professional and Management Consulting Services
| VP, Attorney - Asset Management | Not Disclosed Base Salary Plus Bonus | USA-NY-New York City | 15 May 12 |
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A top-tier asset management firm is looking to hire a VP, Attorney - Asset Management who will provide legal s...
| Coordinator, Corporate Legal Counsel (Investment Management) | Not Disclosed Highly competitive (base + bonus) | USA-CT-Stamford | 15 May 12 |
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Seeking self-directed, highly motivated coordinator to coordinate/streamline legal processes/procedures, and d...
| Associate Counsel | Brandywine Global Investment Management Competitive | USA-PA-Philadelphia | 15 May 12 |
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The Associate Counsel will report to the General Counsel & Chief Compliance Officer and will be responsible fo...
| Senior Business Analyst (Dodd-Frank) - Investment Banking | Hatstand Competitive | USA-NY-New York City | 15 May 12 |
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Senior Business Analyst with Dodd-Frank (NY/NJ): Business systems analyst with at least 7 years functional exp...
| CRA Officer | Hudson City Savings Bank Based on experience | USA-NJ-Hackensack | 15 May 12 |
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Develops, implements, and monitors community relations programs within designated areas to enhance the Bank's ...
| Junior Product Consultant | Not Disclosed $35,000 - $40,000 | USA-NY-New York City | 15 May 12 |
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We are a global provider of specialised software solutions that improve the management of collateralised tradi...
| Head of Financial Controls | Borden Dairy Competitve | USA-TX-Dallas | 15 May 12 |
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The company has recently grown through acquisitions to $2 billion revenue. The Accounting and Finance team ha...
| Compliance Specialist | Investment Placement Group (IPG) Competitive | USA-CA-San Diego | 15 May 12 |
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Investment Placement Group founded in 1983, is a highly specialized broker dealer and investment advisor with ...
| Corporate Paralegal - Private Equity | BlackRock not disclosed | USA-NJ-Princeton | 14 May 12 |
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See job description below
| Inquiries Group Assistant Manager | Morgan Stanley not disclosed | USA-NY-New York City | 14 May 12 |
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See job description below
| Attorney for Corporate Treasury and Disclosure | Morgan Stanley not disclosed | USA-NY-New York City | 14 May 12 |
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See job description below
| Director Market Surveillance | CME Group not disclosed | USA-NY-New York City | 14 May 12 |
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See job description below
| Regulatory Risk Manager - MBS | Comprehensive Recruiting Outstanding compensation and benefit pla... | USA-NY-New York City | 14 May 12 |
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Global financial firm is looking to add a Risk Manager responsible for assessing and managing financial risks ...
| Compliance Testing Vice President | Morgan Stanley not disclosed | USA-NY-New York City | 14 May 12 |
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See job description below
| Compliance Associate | The Bachrach Group, Ltd market competitive | USA-NY-New York City | 14 May 12 |
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Major International Investment Banks seeks highly motivated individual to assist their Compliance/Legal Depart...
| VP - Investment Adviser Testing & Monitoring | The Forum Group Base salary, bonus and benefits. | USA-NY-New York City | 14 May 12 |
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Our client, a global investment bank has an opportunity focused on Monitoring, Surveillance & Testing within t...
| Investment Adviser & Structured Investments Compliance | The Forum Group Base salary, bonus and benefits | USA-NY-New York City | 14 May 12 |
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Our client, a top global investment bank, seeks to increase head-count within one of it's compliance teams due...
