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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
Experienced person required to manage the RBF Risk and Compliance Unit.
This position is open to be based in Melbourne, Australia.
Legal Councel for Australia reporting directly into the local Managing Director.
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See job description below
A leading international fund manager is seeking a Senior Operational Risk Manager to join the Sydney office an...
Investment Banking Risk Management team - asses the degree of compliance to policies procedures and external r...
Support the National Board & NEC
Leading Medical Indemnity Organisation currently require an experienced Quality Assurance Specialist.
Leading Medical Indemnity Organisation currently require an experienced Quality Assurance Specialist.
$120k to $140k package - 9-12 months - Fixed Term Contract This long term contract gives you the opportunity t...
New role is now available at a prestigious international bank responsible for managing Operational Risk in a f...
An outstanding opportunity exists for a Compliance Manager to join a leading global bank
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Job summary field. This is just a test job. Please do not apply.
You will support our clients, through various project assignments, in identifying & delivering tailored soluti...
The Global Employer Services department (GES) provides companies with support and advice, on a worldwide basis...
You will support our clients, through various project assignments, in identifying & delivering tailored soluti...
Binnen Compliance Retail en Private Banking zijn wij op zoek naar een medewerker voor het team Retail and Priv...
Direct Channels Compliance is a newly established group which will provide regulatory advice and oversight to ...
Reporting to senior management of UBS-S IBD, the UBS-S IBD COO will be responsible to work with different func...
ICBC head quarter is looking for Anti-Money Laundering / AML Manager with overses anti-money laundering exper...
To cope with the China development, a foreign banking financial group is looking for a qualified leader to tak...
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Report to China Head of Internal Auditor & Asian Head of Internal Auditor Primary Location: Shanghai
This leading global financial services provider with a vast international presence is looking for an experienc...
international trading house looking for an experienced Market & Credit risk candidate willing to relocate in E...
Be a part of Wealth Management graduate programme
Pour faire face à son fort développement, l'activité Conseil de GBA & Associés recherche un directeur, futur a...
Intégré(e) au pôle 'Garanties Cautions' vous aurez pour rôle d'émettre et de gérer des garanties/cautions à la...
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Compliance / Legal
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