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Job sectorJob locationCompliance / 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 1-26 of 26 jobs
On behalf of our client, a Swiss financial institution, Swisslinx is currently seeking a dedicated and diligen...
Our client is a major trading organisation. They have an innovative pan-asset class trading strategy and now h...
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My client, a law firm that benefits from a great reputation in Switzerland, is looking for a tax lawyer to joi...
My client is a well-establish Asset Management Company seeking a Compliance Officer to maintain the high stan...
My client is a top-tier Swiss bank currently looking for a compliance specialist with 3-7 years experience. Th...
Head Special Focus Group – Risk / Regulatory related Analysis, Control Function (such as Legal & Com...
As a Commodity Trade Finance Lawyer, you will be part of the Team 'Legal Structured Transactions' and will be ...
This exciting role provides an opportunity for WM&SB client-facing and/or control function professionals t...
The Structuring Lawyer will assume responsibility for contributing structuring expertise to the development an...
Main Tasks: Identification and prevention of general compliance and reputation risks from business relationshi...
In this role you are responsible for ensuring compliance with the current legal and regulatory standards.
My client one of Zurichs premier banking groups are looking to recruit a Legal Counsel for their internal tea...
Multitalent?
To support the growth of a global industrial and technology Group, a Financing Lawyer will be employed to advi...
An exciting opportunity for an experienced Legal Advisor has arisen within a leading Swiss bank in Zurich. Thi...
An excellent career opportunity has arisen for Tax Professionals to join a world leading institution based in ...
A new challenging career opportunity has arisen for a motivated Senior Compliance Officer to join a reputable ...
On behalf of our client, a leading and reputable Bank, Swisslinx is seeking a Legal Counsel to join its Legal ...
Sie beraten die Handelsabteilung im Tagesgeschäft in sämtlichen Rechtsfragen aus den Geschäftsbereichen Fixed ...
Robert Walters is one of the world's leading specialist professional recruitment consultancies with 47 offices...
Coutts & Co Ltd is looking for a highly qualified candidate for the position of Regional Head of Anti-Money ...
Die Picard Angst AG ein dynamisches Unternehmen im Finanzbereich mit Sitz in Pfäffikon SZ. Wir bieten für unse...
Large Swiss banking institution looking for Senior AML Officer
Prestigious banking house looking for Senior Compliance Officer
Investment Bank looking for Senior Legal-Compliance Officer
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Compliance / Legal, Switzerland
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