Compliance/Legal: currently 801 jobs.The latest job was posted on 27 Nov 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.
We are currently seeking high caliber candidate for the position of market risk manager. The incumbent is responsible for reviewing and executing the market risk frameworks, standards, policies and methodologies governing Global Markets’ activities covering the trading book.（必须懂中文）
Zhejiang Zhongda Futures Co., Ltd is a leading company in derivative industry in China, which provides a broad range of financial services, including futures brokerage, industry chain financial solution, and investment advisory.
Zhejiang Zhongda Futur…
An opportunity to work in a dynamic and international environment in CFO area in Zurich
Provision of ad-hoc VAT advice to Private Banking & Wealth Management and Investment Banking business
Representation of VAT function in Swiss and international projects, e.g. Mergers and Acquisitions, group structure reorganizations
Advise on indirect tax aspects of intra group agreements
Contribution to the VAT compliance and reporting function
Close collaboration with colleagues in Swiss and…
An interesting job in our Loan Operations and Client Servicing team in Zurich
A unique corporate client-facing opportunity.
Working within a small specialist team involved in multi-national corporate lending, structured debt products and client servicing.
Participating in each step of the product life cycle from initial documentation review to final maturity.
A broad and diverse range of duties involving client on-boarding, maintaining static/product data, processing, settlement, reco…
Our client, a leading investment bank, is looking for an Associate- KYC Controls, Client on-boarding.
This team has a regional exposure covering the controls against money laundering and terrorist financing for different entities of the bank.
Manage the KYC Analysts in supporting the day-to-day compliance efforts with AML / KYC requirements including confirming that all new clients and accounts of existing clients are complying with all AML/KYC policy requirements.
Confirm client identities, source(s) of wealth and ris…
• Established company with strong presence in Asia • Excellent career progressions opportunities • Working with clients across a variety of industries
This leading corporate services company, with a long-term presence across Asia, has a very strong reputation in the market. Known as providing a top quality service, with flexible solutions and a truly consultative approach, they have established a strong customer base globally. Due to continued growth, the Hong Kong office is currently looking for an exceptional Business Development Manage…
Permanent, Full time
Charterhouse Partnership Hong Kong
, EA Licence No:
Asset Manager seeks an experienced Compliance & Risk Officer for their expanding organisation
My client is an exceptional investment organisation, ran by a proven and experienced board and management team. Through the raising of new funds and growth in general, they require a senior finance professional to manage and run the Compliance & Risk functions. This is a brand new position within the organisation allowing a generous amount of responsibility and latitude
The role will centre on the need to identify and evaluate business and tech…
Newly Created First Line of Defence Risk Opportunity in a Strong Boutique Private Bank. Open to Private Banking Auditors with good Compliance & Regulatory knowledge.
• Boutique Private Bank in Singapore
• Newly Created Regional Role
• 1st Line of defence supporting the FO
With growing AUM in Asia, the European Private bank is expanding their presence in Asia. This is a newly created headcount for a dynamic individual to join them.
The role focuses on leading all risk management and regulatory issues to support the development and functi…
• Leading regional bank • Excellent career prospect • Cohesive working environment
This leading regional bank is looking to recruit a highly dynamic AML professional given its aggressive growth plans in Asia. This is a highly visible role with interaction across departments such as compliance, business and operational risk. A seasoned AML professional with strong internal stakeholder management skills will be required to drive changes going forward.
Subject matter expert on anti-money laundering (AML) for retail an…
An opportunity has arisen for a junior lawyer within our Institutional Clients Group Legal team who will be responsible for advising on all legal aspects of the Markets business in Australia. This role also covers legal issues which affect the custody services business and the Treasury and Trade Solutions (TTS) business which assists institutional clients to manage their cash, working capital and multi-country treasury positions. This is an in-house legal role that would suit a candidate looking for an oppo…
Lead 4-persons team to oversee Trade, Economic and Financial Sanctions and global risk management framework to meet legislative and regulatory requirements in China
Senior Sanctions Manager FCC
Accountable for Trade, Economic and Financial Sanctions (including sanctions programs administered by the U.S. Office of Foreign Assets Control, United Nations, European Union and HM Treasury's Financial Sanctions, (collectively referred to herein as "Sanctions"), and global risk management framework to meet legislative and…
Senior Compliance Officer – (International Securities Firm) with at least 5-7 years of relevant experience for an International Securities Firm based in Singapore.
Our client is an International Securities Firm with strong presence across China and Hong Kong are looking to set up a wholly owned subsidiary office in Singapore dealing in Securities. They are seeking a highly motivated and driven individual who has a strong understanding of the Singapore and Hong Kong Securities market to be part of a pioneering team to oversee all complian…
****Top Tier Investment / Private Banks looking for change management professionals to run process across risk, finance, operations and general business change. Do you have experience in delivering projects? Do you come from a consulting or line background? If yes then apply today. ****
Project Manager – Finance Change
Responsibility for projects within the Finance change programme. This includes both system implementation and bus…
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, prop…
The FCC Operational Risk Manager is responsible for assisting the Country Legal and Compliance ("L&C") team install the new Operational Risk Framework ("ORF") and be responsible for conducting the first line testing for processes owned by L&C and facilitate the Country L&C team to fulfil their role as Risk Controls Owner ("RCO").
Key Roles & Responsibilities
1) Assist the country L&C team to install the new ORF:
For each of the identified processes where L&C is the Risk Control …
This project management role will deliver Sanctions projects for the Group across the countries where SCB operates, implementation of corrective action plans that ensure adherence to External and Internal compliance requirements and support the Sanctions Compliance projects team with other Sanctions related work.
Key Roles & Responsibilities
Responsible for the overall delivery of work related to Sanctions compliance and regulatory projects
Maintain oversight of individual compon…
If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further.
As part of Global Risk, Regulatory Compliance ensures adherence to applicable regulations and standards by setting the policies which cover HSBC’s regulatory requirements, and mitigate conduct and reputati…
Vontobel Asset Management, Inc. (“Vontobel”) is a thriving asset management firm with over $45 billion in assets under management. The Firm is a long only equity investment adviser managing in separate accounts, collective investment vehicles and sub advised funds for both U.S. and Non-U.S. clients.
The Compliance Officer will assist Chief Compliance Officer (CCO) in implementing, performing and testing the firm’s compliance program to assure full adherence with the provisions of the Investment Advisers Act of 1940, as amended. This rol…
Manager-Basel Securitizations Capital Treatment
Capital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients. Ranked #127 on the Fortune 500, Capital One is one of the nation’s top 10 banks and has one of the most widely recognized brands in America. We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a…
Leading Capital Markets, Broker Dealer and Investment Bank seeks a Director level Compliance Officer for their Anti-Money Laundering Division. The Successful Candidate will report to the Chief Compliance officer.
~~Reporting to the CCO, the Director AML will be responsible for running of the day to day AML function.
Coming from an Investment Bank or Broker Dealer background the Director - VP will have duties covering, but not limited to:
• Conduct monitoring of AML surveillance reports;
• Provide quality evaluations and enhancements of su…
Leading global hedge fund currently managing north of $15B in long/short equity and multi-strategy funds is seeking a compliance professional to work with investment team on trading, research and surveillance.
The role will focus on analysis of trading activity to ensure investment professionals comply with regulatory policies and procedures. The ideal candidate will have had buy or sell side compliance experience and interaction with investment teams.
Responsibilities include although are not limited to the following:
Business Analyst/Conduct Risk/Risk/Compliance/FCA/Finance
Business Analyst/Conduct Risk/Risk/Compliance/FCA/Finance
London - Business Analyst - £350 - £550
A leading global financial institution requires a Business Analyst to work on a 2 year change programme within Consumer finance centred around Conduct Risk.
You will have a strong change background from within Financial Services, in-depth understanding of Conduct Risk and associated regulations as well as other compliance/regulatory change initiatives.
You MUST meet the following crite…
Argyll Scott are currently partnering a leading Asset & Investment Management, Data Information Firm, they are looking to add a senior Regulatory & Compliance Manager to work with their Business Development team in London.
My client are looking for a dynamic individual looking to help develop and oversee regulatory market strategy. Provide leadership for the development and execution of plans for regulatory approval as well as expertise in translating regulatory requirements into workable strategies. Work closely with regulatory bodies a…
Edelway AG are now looking for a Banking Project Manager to work on regulatory (EMIR, FinFraG) landscape project. This will be initially a 6 months contract with potential for extension-. Excellent rates are on offer for the right person.
Typical project management work consisting of:
− Define and implement project organization and governance (e.g Steering Committee, Working groups etc)
− Plan, execute, control and report the project
− Manage interfaces, dependencies, risk and issues
− Lead project team (2-3 business analys…
Project Manager - Case Management - Legal - Investment Banking - London
Project Manager - Case Management - Legal - Investment Banking
My client a leading global bank in the City is looking for a Project Manager to join their team risk & legal tech team on a long term contract.
The successful candidate will be working on a high profile case management programme.
-Project Manager from an Investment banking background
-Experienced in delivering large global projects with change and technology
-Worked with 3rd party vendors and o…
GBP550 - GBP600 per day + competitive
London, England, United Kingdom
Contract, Full time
Huxley Banking & Financial Services
Posted on: 26 Nov 14