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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 1-30 of 176 jobs
CCO will oversee all aspects of compliance in support of the Bank growing UK business. You will be responsible...
See job description below
See job description below
Senior Compliance Manager - Northampton Contract opportunity
Sanctions Director, City of London
Our client is a global asset manager , with a truly outstanding reputation
Highly prestigious City based firm has an immediate requirement
A multinational bank requires an AML analyst for a 3-6 month contract to assist in a number of AML & PEP revie...
Our client is one of the world's preeminent asset management firms and a premier provider of global investment...
Key role within well renowned private client Investment Manager
A global bank requires a Business Analyst to support a number of cross functional requirements within the risk...
A unique oppurtunity within one of the world's preeminent asset management firms Key Responsibilities:
Director of Compliance for an Investment Bank in London
Documentation Manager - UK Wrapper Products 6 Month Contract
We have an exciting opportunity for a Regulatory Framework Manager to work within our UK Retail function withi...
Our leading investment management firm are looking to bring on board a BA. The candidate will lead the workst...
Global energy major requires a Chartered Accountant with significant experience around risk and controls to jo...
TIAA-CREF Asset Management, UK Limited, a European real estate asset management business, is a wholly-owned su...
One of our most prestigious banking clients has an urgent requirement for a Regulatory Reporting Analyst to jo...
Senior Project Manager/Program Manager Very high profile role.Extensive experience of Compliance Best Practice...
To be considered for this position all applications should be emailed to priya.patel@hays.com An exciting o...
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I am currently recruiting a contract/temp to perm role within a top tier investment bank. My client is see...
Compliance Monitoring Manager London Up to £70,000 + Bonus + Benefits + Pension
Compliance Advisory Manager London City Up to £65,000 + Benefits + Pension
An exciting permanent job opportunity has just arisen for an experienced Compliance Associate to join a boutiq...
Our client, a highly regarded organisation within the financial services sector is seeking a Financial Crime O...
If you're a highly motivated Compliance Analyst with a good understanding of investment regulations and impres...
This role will involve coverage of listed derivatives related sales and trading activity Institutional Securit...
An excellent opportunity has arisen for a proven Business Analyst with regulatory projects experience, to join...
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Compliance / Legal, UK
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