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Job sectorCompliance / 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 100 jobs
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This role requires a highly experienced senior manager with solid experience communicating with HKMA regulator...
New role created for expanding team in a major Investment Bank. Interviews commence w/c 21st May...............
Regional AML Sanctions Advisory role.
My client is a top tier bank based in Hong -Kong looking for a Senior Compliance Manager to step in to a Head...
This well respected and growing financial services group is seeking an experienced Compliance Manager responsi...
ENSURE BUSINESS PERFORMANCES
COMPLIANCE CONSULTANT - CORPORATE BANKING
Group Audit is a team that prides itself in establishing the highest standard in professional delivery and is ...
• Carry out AML controls for global and regional programmes • Ensure adequate record keeping on AML related a...
• Top tier Insurance and Investment Management firm • Regional exposure and direct reporting line to CCO • S...
A leading IB are currently searching for Compliance PM - it could be you! They will support the COO in the exe...
This team has significant growth planned over the next 2 years giving you the chance to learn new skills and b...
Become the SME in Corporate Disclosures and Licensing matters***Join a leading International Investment Bank**...
An exciting opportunity has arisen to join UBS as a Business Risk Specialist.
An exciting opportunity has arisen to join UBS as a Compliance Expert, Wealth Management.
An exciting opportunity has arisen to join UBS as a Legal Counsel - Global Asset Management.
This is a newly created role and the team is seeking for a AVP-VP Regional Compliance Advisory to join the AML...
Top tier Asset Management firm is seeking an AVP in Compliance. The team and the member will support the busin...
Great opportunity to work for a leading US law firm with an excellent support structure in place.
Our client is a leading corporate, retail and investment bank that has established a comprehensive global comp...
Our client is an international investment bank which is expanding it's operations across Asia Pacific. In a mo...
AVP - VP level role for a Global Investment Bank.
Be part of a dynamic and expanding team in their Compliance and Risk Management Division
AVP to VP level. Our client is a Global Bank looking for experienced AML Investigation candidate for this grow...
Part of the Compliance Operations function which provides operational services and change management capabilit...
We are currently seeking a highly experienced, regional director level candidate in Anti-Money Laundering to m...
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A fantastic opportunity for an experienced compliance professional to take on a senior level compliance role w...
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Compliance / Legal, Hong Kong SAR
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