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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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| Senior Wealth & Tax Planner | UK desk | Albert Cliff Competitive | Switzerland-Zurich | 16 May 12 |
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Albert Cliff is proud to work alongside one of Switzerland's top private banks - its name being synonymous wit...
| Tax Lawyer | Swiss Office | | Not Disclosed Very competitive | Switzerland-Romandy - Geneva | 16 May 12 |
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My client, a law firm that benefits from a great reputation in Switzerland, is looking for a tax lawyer to joi...
| Senior Legal and Compliance Manager role. | Swiss Office | | Not Disclosed Very Competitive | Switzerland-Zurich | 16 May 12 |
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My client is a well-establish Asset Management Company seeking a Compliance Officer to maintain the high stan...
| Compliance Officer | Swiss Office | | Not Disclosed Very Competitive | Switzerland-Zurich | 16 May 12 |
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My client is a top-tier Swiss bank currently looking for a compliance specialist with 3-7 years experience. Th...
| Lawyer - Commodity Trade Finance | UBS AG Competitive | Switzerland-Zurich | 16 May 12 |
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As a Commodity Trade Finance Lawyer, you will be part of the Team 'Legal Structured Transactions' and will be ...
| Specialist US / EBT Compliance | UBS AG Competitive | Switzerland-Zurich | 15 May 12 |
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This exciting role provides an opportunity for WM&SB client-facing and/or control function professionals t...
| Structuring Lawyer - Global Real Estate, GAM | UBS AG Competitive | Switzerland-Zurich | 15 May 12 |
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The Structuring Lawyer will assume responsibility for contributing structuring expertise to the development an...
| AML Compliance WM&SB Due Diligence Officer | UBS AG Competitive | Switzerland-Zurich | 15 May 12 |
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Main Tasks: Identification and prevention of general compliance and reputation risks from business relationshi...
| Compliance Officer - Wealth Management | UBS AG Competitive | Switzerland-Zurich | 15 May 12 |
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In this role you are responsible for ensuring compliance with the current legal and regulatory standards.
| Head of Swiss Regulatory Control and Compliance | Swisslinx AG Market Rate | Switzerland-Central Switzerland - Zug | 15 May 12 |
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Our client is a major trading organisation. They have an innovative pan-asset class trading strategy and now h...
| Team Leader Regulations | Swisslinx AG Attractive | Switzerland-Romandy - Geneva | 15 May 12 |
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On behalf of our client, a Swiss financial institution, Swisslinx is currently seeking a dedicated and diligen...
| Banking - Lawyer / Legal Counsel - Zurich | ChesterWoodInternational To CHF160,000 + Bens | Switzerland-Zurich | 14 May 12 |
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My client one of Zurichs premier banking groups are looking to recruit a Legal Counsel for their internal tea...
| Senior Compliance Manager | Eames Consulting Group Swiss AG Competitve | Switzerland-Romandy - Geneva | 14 May 12 |
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*** New vacancy: Senior Compliance Manager role. Fantastic opportunity to join an international Swiss bank in ...
| Corporate Tax manager - Financial services | PwC Attractive package | Switzerland-Romandy - Geneva | 11 May 12 |
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Multitalent?
| Financing Lawyer | Jauch Associates AG n/a | Switzerland-Zurich | 07 May 12 |
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To support the growth of a global industrial and technology Group, a Financing Lawyer will be employed to advi...
| Legal Counsel (German speaking) | Swisslinx AG market rate | Switzerland-Zurich | 15 May 12 |
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On behalf of our client, a leading and reputable Bank, Swisslinx is seeking a Legal Counsel to join its Legal ...
| Senior Legal Advisor - Investment Banking (German speaking) | Swisslinx AG market rate | Switzerland-Zurich | 15 May 12 |
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An exciting opportunity for an experienced Legal Advisor has arisen within a leading Swiss bank in Zurich. Thi...
| Junior and Senior Swiss Tax Professionals (German speaking) | Swisslinx AG very competitive | Switzerland-Zurich | 15 May 12 |
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An excellent career opportunity has arisen for Tax Professionals to join a world leading institution based in ...
| Senior Compliance Officer (German speaking) | Swisslinx AG market rate | Switzerland-Zurich | 15 May 12 |
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A new challenging career opportunity has arisen for a motivated Senior Compliance Officer to join a reputable ...
| Rechtsanwalt / Rechtsanwältin - Traded Products | UBS AG Competitive | Switzerland-Zurich | 15 May 12 |
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Sie beraten die Handelsabteilung im Tagesgeschäft in sämtlichen Rechtsfragen aus den Geschäftsbereichen Fixed ...
| Legal Counsel - Private Banking | Robert Walters Switzerland Competitive | Switzerland-Zurich | 14 May 12 |
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Robert Walters is one of the world's leading specialist professional recruitment consultancies with 47 offices...
| Regional Head of Anti-Money Laundering / Leiter Geldwäscherei | Coutts & Co AG Competitive Compensation | Switzerland-Zurich | 14 May 12 |
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Coutts & Co Ltd is looking for a highly qualified candidate for the position of Regional Head of Anti-Money ...
| Trainee Risk Management & Compliance | Picard Angst Gruppe keine Angabe | Switzerland-Zurich | 10 May 12 |
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Die Picard Angst AG ein dynamisches Unternehmen im Finanzbereich mit Sitz in Pfäffikon SZ. Wir bieten für unse...
| Senior AML Compliance | Oliver James Associates AG Negotiable | Switzerland-Midland | 26 Apr 12 |
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Large Swiss banking institution looking for Senior AML Officer
| Senior Compliance - Private Banking | Oliver James Associates AG Negotiable | Switzerland-Zurich | 26 Apr 12 |
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Prestigious banking house looking for Senior Compliance Officer
| Senior Legal Compliance - IB | Oliver James Associates AG Negotiable | Switzerland-Zurich | 26 Apr 12 |
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Investment Bank looking for Senior Legal-Compliance Officer
| Manager /-in , Corporate Compliance - Schwerpunkt 'Pharma' | Ernst & Young AG verhandelbar | Switzerland-Zurich | 20 Apr 12 |
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Ernst & Young ist einer der Marktführer in der Wirtschaftsprüfung, Steuerberatung und Transaktionsberatung sow...
| Senior Wealth & Tax Planning Advisor dedicated to Middle East | Bank Julius Bär & Co. AG competitive | Switzerland-Zurich | 18 Apr 12 |
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