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Compliance / LegalThis 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 educate salespeople, traders, M&A bankers, and other financial services employees on the expectations of national and supranational regulatory bodies and to make sure these regulatory requirements are met. 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 - these workers perform tasks such as maintaining the bank's restricted list (which confines confidential information to key individuals), ensuring Chinese Walls are upheld and checking for abnormal or alarming dealing activity. The control room compliance team ensure staff placed on 'stop and watch' lists are stopped - and watched. Monitoring and surveillance - scrutinise trading transactions and specific behaviour that might indicate fraudulent activity, such as insider dealing or manipulation of markets across the exchanges. Anti-money laundering (AML) - stop money laundering (where the financial proceeds of illegal activities are given the appearance of being legitimate). Asset managers,hedge funds, retail banks and insurance companies all recruit compliance staff. Regulation of financial services firms has increased and compliance has become increasingly important in the wake of the global financial crisis. As well as containing jobs for compliance officers, managers and senior professionals from compliance recruitment agencies, 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. To ensure the documentation and contracts associated with their business fall within the law banks and financial services firms employ an army of lawyers or attorneys and paralegals in conjunction with compliance staff. This section also includes these legal jobs within financial services. Show more » « Show less
Showing 1-30 of 589 jobs
An excellent opportunity has arisen with a boutique, independent Asset Management Company looking to hire a Co...
The Sales and Marketing Manager, Auto Business is required to manage the Autoshield telesales team in achievin...
The Documentation Specialit will be part of the Legal Documentation Unit for Citi's Markets & Banking Division...
The Legal Counsel will be part of our Legal team for the Singapore's Institutional Clients and Consumer Bankin...
The Regional Markets Compliance Officer is required to provide timely advice to Global Markets staff with Comp...
My client is a global banking group which has very established commodities trading business in APAC. They are ...
A rare chance to work for a prestigious Asset Management firm in their compliance department as an AML analyst...
An interesting and pioneering role leading and directing the compliance and risk programmes for this British b...
Run the operations of the office. Handle all the general administration, supervision of the junior support sta...
Global Bank is looking for a compliance project manager to support the delivery of its large business technolo...
Due to expansion plans and the vision to develop Singapore into the regional hub for APAC, my client is lookin...
Top tier Investment Bank and currently looking to hire an Internal Controls Manager within Financial Decision ...
Our client is a leading financial services company with a solid footprint in Asia. They are seeking a law gra...
Our client, a leading international law firm, has an opportunity for an experienced generalist HR Manager with...
Great career opportunity in an expanding organisation where you will focus on the on-boarding of institutional...
Part of the compliance team with the responsibility of the anti-money laundering (AML) policy, transaction mon...
Regional Head of Compliance and Risk - Leading insurance firm, based in Singapore.
Equities Compliance specialist required to jopin leading Global IB...
HSBC is looking for an experienced Compliance professional to join the team to support the Global Banking & Ma...
Are you interested in shaping Singapore's economic and financial sector development? Are you interested in inf...
The role holder provides product specific compliance support to the Transaction Banking (TB) business in the r...
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Compliance Manager opportunity in a leading regional Corporate bank. You should have a degree with about 5-10 ...
Due to our business expansion, we are seeking high calibre and dedicated professionals to join us in a dynamic...
Shell first established its presence in Singapore in 1891. Since then we have grown into one of the Island's l...
A global bank with a recognised brand name is seeking an experienced Fixed Income Compliance officer to join t...
Our client is a leading independent broker with offices around the globe. With the expansion in the businesses...
A newly created and rewarding Audit Head position for one of the well respected insurance organisation in the ...
Intertrust Group is a world leader in global Trust and Corporate Services with a network of more than 30 offic...
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Compliance / Legal
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