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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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| 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...
| 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...
| 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 ...
| 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...
| 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.
| Compliance Officer, WM - Special Markets and Controls | UBS AG Competitve | Singapore | 16 May 12 |
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An exciting opportunity has arisen to join UBS as a Compliance Officer, WM - Special Markets and Controls.
| Sales and Marketing Manager, Auto Business | Citibank Competitive | Singapore | 16 May 12 |
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The Sales and Marketing Manager, Auto Business is required to manage the Autoshield telesales team in achievin...
| Balance Sheet & Processes Controller | Citibank Competitive | Singapore | 16 May 12 |
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As the Balance Sheet & Processes Controller, candidate should ensure Balance Sheet Sanity of all accounts owne...
| Regional GCG AML Compliance Officer | Citibank Competitive | Singapore | 16 May 12 |
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The Regional GCG AML Compliance Officer (Regional GCG AMLCO) assists the Regional GCG AML Compliance Head in c...
| Head of Compliance | Recruit Legal Negotiable | Singapore | 16 May 12 |
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Our client, a foreign bank based in Singapore is looking to hire an experienced senior compliance to join thei...
| Legal Manager - Banking Sector | Recruit Legal negotiable | Singapore | 16 May 12 |
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My client, one of the international bank provides comprehensive range of financial services such as corporate ...
| AVP, WM Compliance | WMRC Competitive remuneration & benefits | Singapore | 16 May 12 |
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Armed with strong regulatory knowledge background in SFA, FAA and Banking Act, you will review clients' profil...
| Employment Lawyer (Singapore or Hong Kong based) | Credit Suisse Attractive Remuneration | Singapore | 16 May 12 |
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Providing legal advice with respect to Credit Suisse's Human Resources function across all locations in Asia P...
| Senior Manager - Compliance (Asset Management) | Kerry Consulting Pte Ltd (Licence No. 03C4828) Competitive Reumeration | Singapore | 16 May 12 |
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Major Asset Management Firm looking to hire Compliance Manager due to continued growth
| Senior Compliance Officer - Dubai | Kerry Consulting Pte Ltd (Licence No. 03C4828) Competitive Market Remuneration | Singapore | 16 May 12 |
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• Major Commercial Bank • New Branch License in Dubai • Part of Pioneer Team • Mandarin speaking skills is ...
| Assistant Manager | IFS Capital Limited Competitive | Singapore | 16 May 12 |
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IFS Capital Limited is an established financial services group listed on the Mainboard of Singapore Exchange w...
| Senior Relationship Managers | IFS Capital Limited Competitive | Singapore | 16 May 12 |
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IFS Capital Limited is an established financial services group listed on the Mainboard of Singapore Exchange w...
| Compliance Manager (5 yrs pqe) Singapore | Hughes-Castell (Hong Kong) Limited Excellent | Singapore | 16 May 12 |
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A leading growth funds management institution is seeking an experienced compliance professional to oversee all...
| Insurance Legal Counsel (3-5 yrs pqe) Singapore | Hughes-Castell (Hong Kong) Limited Excellent | Singapore | 16 May 12 |
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Advise on a variety of general insurance and commercial matters at this boutique insurance company.
