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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 586 jobs
Our client is seeking to recruit a high calibre insurance professional with management experience. Branch mana...
Senior Project Manager/Program Manager Very high profile role.Extensive experience of Compliance Best Practice...
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Our client is an established Japanese bank operating in Singapore. We are looking for a banking professional ...
Agg Jones are working with the Wealth arm of a Tier 1 Bank who are looking to appoint a Head of Control & Gove...
As a leading life insurer, AIA's success is built on experience gained from serving the world's most dynamic r...
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CCO will oversee all aspects of compliance in support of the Bank growing UK business. You will be responsible...
Director of Compliance for an Investment Bank in London
Our client, a US based investment management company, is seeking a compliance manager for its Singapore office...
Our client is an international investment bank and they are currently seeking two experienced Legal Counsel, ...
Global Financial Services . Expanding Business . Good Career Prospect
Our client is a leading international law firm who is seeking a number of paralegals to assume a short term co...
Team Management . Newly Created Role . Expanding Business . Good Career Progression
Advisory Compliance Manager / Fixed Income
Compliance Advisory / Retail Banking (6 months contract)
Compliance Officer Markets / Investment Banking
Compliance Manager / Marketing & Distribution
Senior Compliance Advisory Manager / Private Banking
Compliance Adviser (AVP/VP) for Private Bank!
Senior Level Equities Compliance role with a leading Investment Bank
Global Banking and Trade Compliance role with a Leading Wholesale Bank
A well-respected Audit function is seeking a high-calibre Audit Professional to join the Asia Regional Team..........
Wealth Management Compliance Role with a Leading Global Bank
If you're a highly motivated Compliance Analyst with a good understanding of investment regulations and impres...
We are currently recruiting an Italian speaking Account Representative – Support to provide comprehensive supp...
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Compliance / Legal
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