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You refined byCompliance / 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 89 jobs
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Seeking self-directed, motivated, client focused candidates with exceptional process management and people ski...
Seeking a motivated individual with compliance experience (1 – 4 years experience "max"). Knowledge of the Inv...
We are a global provider of specialised software solutions that improve the management of collateralised tradi...
ROLE SUMMARY: Our General Counsel team is looking for a Head of US Registrations in New York and will rep...
Our General Counsel division is seeking a Negotiator in the Investment Bank's New York office.
Candidate should have excellent interpersonal and project management skills to work directly for Governance Di...
Deutsche Bank "Best Global Investment Bank 2010" A Passion to Perform. It's what drives us. More than a cl...
Lead the expansion, development, and implementation of a cutting edge Credit Risk platform. Oversight of Mode...
Our client, a large diversified commodities trading firm, is seeking an Energy Commodities Compliance Manager ...
Our client is highly reputable top tier International Investment Bank currently seeking an Assistant Controlle...
Effectively manage and motivate client engagement teams in with diverse skills and backgrounds. Consiste...
International Insurance firm - Director level position - Immediate Interviews and start - Solid career progres...
Develops, implements, and monitors community relations programs within designated areas to enhance the Bank's ...
Investment Placement Group founded in 1983, is a highly specialized broker dealer and investment advisor with ...
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We're a top performing, rapidly growing asset management firm in NYC - seeking an attorney on our Compliance T...
We're a top performing, rapidly growing macro fund/asset manager in Manhattan and are seeking an energetic, ex...
Reporting directly to the Chief Compliance Officer, this is an opportunity to join a leading financial service...
Our client is one of the world's leading investment and advisory firms. They are looking for an Attorney t...
The company has recently grown through acquisitions to $2 billion revenue. The Accounting and Finance team ha...
Robert Half Financial Services specializes in the placement of professionals with top companies in the market....
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Manages all aspects of Complicance Division including operational and compliance risk management activities, ...
Our client is looking for a Mutual Fund Attorney with in-depth knowledge of the Investment Company Act of 1940...
This is a fantastic opportunity to join a leading mid sized financial services institution in a newly created ...
A top-tier investment management firm is currently looking to hire a VP, Compliance, Marketing Material who wi...
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Compliance / Legal, USA
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