Compliance/Legal: currently 771 jobs.The latest job was posted on 31 Oct 14.
Compliance / Legal
This 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 make sure these regulatory requirements are met and to educate salespeople, traders, M&A bankers, and other financial services employees on the expectations of national and supranational regulatory bodies.
These 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 - centralised tasks such as maintaining the bank’s restricted list (which restricts confidential information to key individuals), ensuring Chinese Walls are upheld and checking for abnormal or alarming dealing activity. Should certain staff be placed on ‘stop and watch’ lists, it’s the control room compliance team who ensure they’re stopped – and watched.
Monitoring and surveillance - scrutinising specific behaviour and trading transactions that might indicate fraudulent activity, such as insider dealing or manipulation of markets across the exchanges.
Anti-money laundering (AML) - stopping money laundering (where the financial proceeds of illegal activities are given the appearance of being legitimate).
Asset managers and hedge funds also recruit compliance staff, as do retail banks and insurance companies. In the wake of the global financial crisis, regulation of financial services firms has increased and compliance has become increasingly important. As well as containing jobs for compliance officers, compliance managers and senior compliance professionals from compliance recruitment agencies in the areas referred to above, 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.
Alongside compliance staff, banks and financial services firms employ an army of lawyers or attorneys and paralegals to ensure the documentation and contracts associated with their business fall within the law. This section also includes these legal jobs within financial services.
• Provide support to the Head, FCC Private Banking Clients to implement the strategy & direction PvB FCC, more specifically in the Sanctions compliance space.
•Promote the culture and practice of organisational compliance with legal and compliance standards within the PvB.
• Establish and maintain frameworks to identify, assess, manage, monitor, mitigate and report regulatory and financial crime risks across the PvB, with an emphasis on managing sanctions risk.
• Assist manageme…
Primary lead in design, delivery and implementation across the Group's global footprint (including having user oversight over relevant processes and IT systems architecture) of all Control Room owned policies and procedures, including:
-Watch and Restricted Lists
-Conflicts of Interest
-Staff Outside Business Interests
-Staff Personal Account Dealing
In addition the role will entail oversight and refreshment of all Control Room owned training material, work…
My Client, a well-known asset manager based in the City of London, is seeking to appoint a Compliance Monitoring Manager on a 12 month FTC.
My Client, a well-known asset manager based in the City of London, is seeking to appoint a Compliance Monitoring Manager on a 12 month FTC.
Designing and implementing an annual CMP.
Identify any weaknesses or shortfalls in controls and implement remedial action plans.
Actively manage breach logs and take the lead in any issues identified/implemented.
Escalate any compliance oversight …
A market leading and well respected Lloyds managing agent based in the City of London is currently looking for a Compliance Monitoring Officer to work within its group compliance function which is made up of over 20 people globally. This is a newly created role
within the business.
To be considered for this position you must be able to give examples of:
Current or previous insurance experience, Lloyds knowledge is desirable
Current compliance experience and knowledge of the FCA regulatory regime
Experience in compliance monit…
This highly successful emerging markets hedge fund focusing on fixed income investments is looking to hire a Compliance Associate
Reporting into the Head of Legal & Compliance the successful candidate will assist in a broad range of duties including (but not limited to):
Provide support and assistance as required by the Head of Legal and Compliance
Maintain and carry out the Compliance Monitoring & Testing Programme
Ensure that all processes, procedures and manuals/handbooks, etc, are kept up to date and reflect regulatory changes
This well-established boutique international investment office is looking for a Head of Legal and Compliance to support investment activities for their growing client base of institutions, family offices and high net worth individuals.
Reporting into the COO, the successful candidate will be responsible for developing an independent Compliance function in the UK and Hong Kong offices. They will cover all aspects of Anti-Money Laundering and Compliance including remedial work and policy formulation. Using their legal skills they will also …
This City-based independent financial services boutique (sell-side) is keen to hire a Compliance Officer.
Based in London with a dual reporting line into the London –based global CFO and US-based CCO, the successful candidate will operate in a standalone capacity covering a broad range of duties including but not limited to:
Responsibility for ensuring compliance with relevant UK regulations
Work closely with the US-based CCO to ensure compliance with SEC / FINRA regulations
Responsible for the maintenance and improvement of the UK comp…
My client is a leading financial institution and they are seeking a Compliance Manager. You will be responsible for providing advice and guidance, identifying institutional risks and performing monitoring tasks, reviews and investigations.
To provide compliance advisory services to the UK Bank and the UK Asset management company.
Reduce the possibility of regulatory fines and sanctions against the firm or its approved persons.
Assist in the maintenance and oversight of the regulatory policies and procedures.
As an expansion growth hire, this financial institution is seeking a leader in risk management, compliance/regulatory knowledge and modeling.
As an expansion growth hire, this financial institution is seeking a leader in risk management, compliance/regulatory knowledge and modeling. We are looking for a candidate with interpersonal skills, strong leadership abilities and sound industry knowledge.
Location: Washington D.C.
Represent the Risk & Regulatory team with subject matter expertise and leadership, as it …
Up to $270,000 USD base (DOE) + COMPETITIVE bonus and FULL relocation
Compliance Officer and Anti Money Laundering Officer to join the Mayfair based investment management company, Henderson Rowe. Successful applicant will hold both CF10 and CF11 FCA registrations and will report directly to the CEO and the Board.
Henderson Rowe, established in 2002 is a growing and successful investment management firm based in Mayfair, London.
The firm acts for high net worth clients on a discretionary and advisory basis. The firm also has a desk trading equities, CFDs, futures, options and FX and is also …
Vous interviendrez au sein de nos équipes en mission chez un de nos clients, une grande banque d'investissement internationale pour mener à bien les négociations de Master Confirmations Agreements.
- Négocier des types de modèles de confirmations en conformité avec les orientations définies par ISDA, SEGL et le Front Office
- Suivre de la négociation des modèles de confirmations Long Form avec les clients internes et les contreparties
- Etre garant de la conservation des modèles de confirmations dans les SI
- S'assurer d'une bonne qualité…
Head of Master Agreements
SG CIB is the Corporate and Investment Banking arm of the Société Générale Group. Present in over 50 countries across Europe, the Americas and Asia.SG CIB provides corporate, financial institutions, investors and public sector clients with value-added integrated financial solutions.
Reporting into Head of OTC, Cash Equities and Master Agreements APAC with a dotted reporting line to Global Head of Master Agreements in London covering all master documentation, including ISDA, GMRA…
My client, a market leading international business, is currently going through a period of significant growth and require a strong qualified accountant 1-2 years PQE and Big 4 / Internal Audit / SOx background for this 12 month contract.
The role will also be responsible for assisting with business process and procedure and group policy documentation. This role will perform targeted testing activities to drive compliance; work closely with external/internal au…
My client, a privately-owned and successful investment manager, is looking to hire a Head Compliance & Legal.
The successful candidate will have sole responsibility for compliance duties (being registered as the CF10 and CF11) including operational risk oversight for the Company. Responsibilities are varied and include (but are not limited to):
Support both compliance and legal aspects related to the day-to-day management of a SICAV including outsourced functions and business development efforts across several jurisdictions
A new challenge at Group level within a leading international bank headquartered in Geneva...
Our client, one of the global leading financial private banking businesses in the world headquartered in Geneva, are currently looking for a Compliance Officer to coordinate all the Group Compliance activity.
You will act as a Group Compliance coordinator for different business lines, deal with questions on regulatory issues for the operational management and staff of the different business lines and entities at group level in S…
Excellent opportunity to lead the AML team for a leading global bank, the role being based in Geneva
With one of the largest private banking businesses in the world, this bank is well-established since many years in Geneva and provides professional wealth management services for its UHNW client and offers unmatched global reach, together with a full range of investment advisory, portfolio management and wealth planning services as well as expertise in the corporate and investment banking fields.
Managing a team of 3, you…
A leading Trust and Corporate Service Provider with international reach, working across all capital markets structures that are based in Dublin are currently hiring a full time company secretary.
To establish a dedicated company secretarial function within this company, to set up practices and procedures and develop current systems to ensure compliance with legal and statutory requirements and maintain standards of corporate governance
Duties and responsibilities
Convene all Board Meetings and AGM's
Prepare Minutes for all board …
A high profile life insurance company, is currently seeking a Head of Legal and Compliance to join there expanding team.
Reporting directly into the Chief Executive Officer the new Head of Legal and Compliance will be responsible for the Compliance function and Legal Counsel within the a large life insurance company. This team performs a crucial role in the ongoing development of the company.
Experience and Qualifications
Qualified Solicitor or possesses a Law Degree with relevant professional qualifications at diploma level in …
A high profile Bank in Dublin, are hiring a focused highly skilled Data Analyst on their AML Enhancement Programme
An opportunity has arose with in a top AML Enhancement Programme for a highly skilled Data Analyst focused on helping a leading bank to analyse and define their existing customer base for the purposes of conducting legislatively required Anti-Money Laundering activities. The Successful candidate will report directly to the Head AML programme manager
Identify, analyse and prioritise the existing customer base with t…
Our client, a large consultancy firm is looking to recruit a number of experienced conduct risk professionals to join the business and help to support their ongoing project work as well as helping to establish and grow the firms reputation in the market.
Key Responsbilities/Skill Set
Candidates need to be highly motivated professionals. This is a consultancy opportunity and the expectation is high - candidates must be capable communicators who are comfortable representing the brand as well as being ready and willing to put in the hours if…
A leading international technology corporation are looking for a Corporate Compliance Counsel to join their London based legal team in Central London. The role will provide a full range of compliance legal support to the corporation and its European group companies.
Manage day to day compliance issues with the company’s senior credit facility and other lending arrangements
Provide regulatory advice on areas such as new licensing maintenance of licenses, product development and global telecoms developments
Own and man…
Looking for a senior project manager with proven finance/banking background; High-profile opportunity with very strong business exposure; Fantastic growth potential and remuneration
Our client, a leading global investment bank, is looking for a proven enterprise project manager with proven banking/finance background to join their high-profile compliance/regulatory team.
As a senior project manager, scope, plan and execute projects for the regional compliance business
Ensure clear project/programme status reporting, pro…
Our client, a global bank is looking to hire several CDD (Client Due Diligence & Account Management) Analyst / Sr. Analyst to join their team in Singapore
- Familiar and proficient on KYC, AML/CFT knowledge with high sensitivity to legal, compliance and operational risks.
- KYC Due Diligence for opening of accounts for new clients and recertification of existing clients
- To ensure proper procurement, maintenance and updates of KYC Due Diligence documentation in the bank’s systems.
- Liaise and…
Asset Management Risk Manager (Job Number: 1413702)
BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. Whether providing financial services for institutions, corporations or individual investors, BNY Mellon delivers informed investment management and investment services in 35 countries and more than 100 markets. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, servi…
New York, NY, USA
Permanent, Full time
Updated on: 31 Oct 14