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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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| Portfolio Monitoring /Compliance Specialist | Citifocus £Excellent Packages/Rates | UK-London | 16 May 12 |
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Prestigious investment management house seeks a highly experienced Compliance Manager to manage asset managem...
| Fraud Business Analyst – Mobile Payments | Visa Competitive Daily Rate | UK-London | 16 May 12 |
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Visa Europe are currently recruiting a Fraud Business Analyst – Mobile Payments to work on a high profile Mobi...
| Senior Compliance Officer | LMA Recruitment £35,000 - £38,000 | UK-London | 16 May 12 |
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Highly respected West End International Bank is keen to speak with dynamic Senior Compliance Officers to assis...
| Senior Compliance Manager, Advisory Compliance | Hudson Banking £95000 - 115000 | UK-London | 16 May 12 |
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Senior Compliance Manager required for a leading financial institution within their Private Side Advisory Comp...
| Compliance Officer - Advisory | Jigsaw Search £40k-£50k Basic - Excellent Bonus | UK-London | 16 May 12 |
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Great opportunity for a Compliance Officer to come into an award winning Investment Platform and be responsibl...
| Head of Market Risk Methodologies & Analytics (ED) | Millar Associates To £250K total | UK-London | 16 May 12 |
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This large, respected investment bank also includes insurance & commercial banking among its activities. The ...
| GSAM, Product Documentation, Product Development - Senior Analyst/Associate | Not Disclosed Competitive | UK-London | 16 May 12 |
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Working as part of the Product Development team the candidate will lead all aspects of product documentation a...
| European Bank Loan Capital Markets Lawyer, Associate/VP | Goldman Sachs Market | UK-London | 16 May 12 |
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Experienced debt financing lawyer to join legal team servicing Goldman Sachs' credit finance and investment bu...
| Legal Division, Private Wealth Management Lawyer, VP | Goldman Sachs. Competitive | UK-London | 16 May 12 |
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Role for a Qualified Lawyer working within the Legal team in EMEA, servicing the Private Wealth Management Bus...
| Business Oversight and Control Officer - Vice President | Morgan Stanley Competitive | UK-London | 16 May 12 |
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Morgan Stanley's Private Wealth Management division are looking to hire a Vice President to work within a team...
| Compliance & Operations Manager | Barclay Simpson £market rate + bonus + bens | UK-London | 16 May 12 |
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A US proprietary trader with a focus on equites, bonds and related derivatives is looking for a senior profess...
| Senior Wealth/Tax Planner - UK coverage (Zurich based) | Albert Cliff Ltd Competitive | UK-London | 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...
| Internal Audit - Special Investigations | Real Staffing Very Competitive | UK-London | 16 May 12 |
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One of the world's largest banking groups are seeking Internal Audit Managers and Internal Audit Managers and ...
| (T) Executive Compliance Officer (FICC - Fixed Income Currency and Commodities) | Macquarie Information not provided | UK-London | 16 May 12 |
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This is an exciting opportunity to gain broader compliance experience within a growing commodities and physica...
| Lawyer, Liquidity | JP Morgan £Competitive | UK-London | 16 May 12 |
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Excellent contract opportunity for a qualified Lawyer with liquidity or treasury experience.
| Executive Review Officer | Change International NA | UK-London | 16 May 12 |
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An outstanding opportunity for a technically proficient and professional claims reviewer to progress their car...
| EUROPEAN GENERAL COUNSEL – FINANCIAL SERVICES DIVISION | Not Disclosed Competitive | UK-London | 16 May 12 |
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Presently we are seeking to appoint an experienced lawyer with a compliance background to the newly created po...
| Senior Compliance Manager | Hays Financial Markets £300 a day | UK-London | 16 May 12 |
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Senior Compliance Manager - Northampton Contract opportunity
| Compliance Assistant | Hays Financial Markets Up to £40,000 | UK-London | 16 May 12 |
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Compliance Assistant London City £30,000-£40,000 + discretionary bonus +benefits
| Sanctions Director | Hays Financial Markets Highly Competitive + Benefits + Bonus | UK-London | 16 May 12 |
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Sanctions Director, City of London
| Compliance Advisory, Financial Crime | Hays Financial Markets Highly Competitive + Benefits + Bonus | UK-London | 16 May 12 |
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Job Title: Compliance Advisory, Financial Crime Location: London Salary: Highly Competitive + Bens
| Compliance Senior Business Analyst | Hays Financial Markets £550-£600 a day | UK-London | 16 May 12 |
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Top Tier Investment Bank are seeking an experienced Senior Business Analyst with solid Investment Banking back...
| Compliance Advisory – International Retail & Fundamental Equity | Hays Financial Markets £Highly Competitive | UK-London | 16 May 12 |
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Our client is a global asset manager , with a truly outstanding reputation
| Equities Compliance Manager | Hays Financial Markets £Negotiable | UK-London | 16 May 12 |
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Highly prestigious City based firm has an immediate requirement
| AML Analyst | Hays Financial Markets £200 to £350 per day | UK-London | 16 May 12 |
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A multinational bank requires an AML analyst for a 3-6 month contract to assist in a number of AML & PEP revie...
| Regulatory Engagement - Premier Global Institution | Hays Financial Markets £Excellent | UK-London | 16 May 12 |
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Our client is one of the world's preeminent asset management firms and a premier provider of global investment...
| Compliance Trainee - 11 months Fixed Term Contract | Société Générale - UK Competitive | UK-London | 16 May 12 |
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To provide compliance and administrative support to the Policy Training & Registrations Team, and the UK Compl...
| International Compliance Analyst | Piedmont Ltd Competitive based on experience | UK-London | 16 May 12 |
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Our multinational client seeks an International Compliance Analyst to support the Group's International Compli...
| Compliance Manager -- Investment Compliance -- Top tier Bank. | City of London | | Carlton Senior Appointments Very Competitive | UK-London | 16 May 12 |
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My client is a leading global financial services company seeking a Regulatory Compliance Manager to join their...
| CASS Specialist - VP/MD | Bruin Financial On application | UK-London | 16 May 12 |
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The Asset Servicing arm of a leading Financial Services provider iscurrently looking for a Senior Cass Special...
