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Compliance / Legal
In this sector, we list all legal and compliance jobs for finance professionals. Compliance roles exist to make sure banks, asset managers, hedge funds, insurance companies and any other forms of financial services firms obey the regulations required by the law of the country in which they are operating. Compliance professionals check with front office employees on the business side of the organization to guarantee any regulatory requirements are met. They also train salespeople, traders, M&A bankers and other financial services employees on the expectations of national and supranational regulators.
Regulatory jobs in financial services and investment banks can be in one of a number of categories, including:
Sales and trading compliance - This position requires working closely with salespeople and traders in a bank to check that their activities comply with any requirements of a local regulator. Sales and trading compliance professionals are usually product specialists. They may specialize in areas such as bonds, equities or derivatives.
Control room compliance - This position includes maintaining a bank's restricted list (which restricts confidential information to specific people), checking that Chinese Walls are upheld and monitoring for unusual or alarming dealing activity. If a certain employee is placed on a "stop and watch" list, the control room compliance team check to make sure they're stopped and watched.
Monitoring and surveillance - People working in this category study specific behavior and trading transactions that could demonstrate fraudulent activity. They check for activities such as insider dealing or any manipulation of markets across the exchanges.
Anti-money laundering (AML) - These professionals are responsible for preventing money laundering, which is when the profits of illegal activities are made to appear legitimate.
Asset managers, retail banks, insurance companies and hedge funds hire compliance staff as well. The global financial crisis has increased regulation of many different types of financial services firm. As a result, compliance has become much more important. In addition to listing jobs for compliance officers, compliance managers and senior compliance professionals from compliance recruitment agencies in the categories listed above, this section contains listings for jobs at actual financial services regulatory bodies such as the SEC. Many jobs revolve around enforcing these regulations.
Banks and other financial services companies also employ lawyers or attorneys and paralegals to check that their documentation and contracts comply with established law. As such, this sector also lists these legal financial jobs.
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| Senior Broker Dealer Compliance specialist with Emerging Markets experience sought by Top Fund | Selby Jennings QRF Above market value | Greenwich, CT, 06830 | 16 May 12 |
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Brief Description
| Regulatory/Compliance Assistant (Paralegal) | Newedge not disclosed | New York, NY | 16 May 12 |
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See job description below
| Compliance Technology Sr. Consultants/Mgrs for Global Advisory Firm in NYC | Mindstaff open | New York, NY | 16 May 12 |
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Lend compliance subject matter knowledge to design and integration phase of each project, to give specificity ...
| Director, Credit Risk | Not Disclosed $175k base salary, plus substantial annu... | Washington, DC | 16 May 12 |
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Lead the expansion, development, and implementation of a cutting edge Credit Risk platform. Oversight of Mode...
| Director of Fair Lending Compliance - Columbus, OH | Huxley US$100000 - US$150000 per annum | Columbus, OH, 43085 | 15 May 12 |
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Looking for a compliance officer with 5-7 years of experience in Fair Lending/housing with strong data-driven ...
| Engagement Manager – Anti Money Laundering Advisory | E. D. Starr & Company Competitive | New York, NY | 15 May 12 |
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Global Leader in Professional and Management Consulting Services
| VP, Attorney - Asset Management | Not Disclosed Base Salary Plus Bonus | New York, NY, 10016 | 15 May 12 |
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A top-tier asset management firm is looking to hire a VP, Attorney - Asset Management who will provide legal s...
| Coordinator, Corporate Legal Counsel (Investment Management) | Not Disclosed Highly competitive (base + bonus) | Stamford, CT | 15 May 12 |
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Seeking self-directed, highly motivated coordinator to coordinate/streamline legal processes/procedures, and d...
| Associate Counsel | Brandywine Global Investment Management Competitive | Philadelphia, PA | 15 May 12 |
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The Associate Counsel will report to the General Counsel & Chief Compliance Officer and will be responsible fo...
| Senior Business Analyst (Dodd-Frank) - Investment Banking | Hatstand Competitive | New York, NY | 15 May 12 |
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Senior Business Analyst with Dodd-Frank (NY/NJ): Business systems analyst with at least 7 years functional exp...
| Customer Processing Assoc III Job | THE BANK OF NEW YORK MELLON CORPORATION Competitive | Jersey City, NJ, 07097 | 15 May 12 |
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See Job Description
| Sr Analyst, Investment Product Research | TIAA-CREF Base+Bonus+Benefits | Charlotte, NC, 28201 | 15 May 12 |
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Analystic & Regulatory Portfolio oversight
| CRA Officer | Hudson City Savings Bank Based on experience | Paramus, NJ, 07652 | 15 May 12 |
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Develops, implements, and monitors community relations programs within designated areas to enhance the Bank's ...
| Junior Product Consultant | Not Disclosed $35,000 - $40,000 | New York, NY | 15 May 12 |
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We are a global provider of specialised software solutions that improve the management of collateralised tradi...
| Head of Financial Controls | Borden Dairy Competitve | Dallas, TX | 15 May 12 |
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The company has recently grown through acquisitions to $2 billion revenue. The Accounting and Finance team ha...
| Compliance Specialist | Investment Placement Group (IPG) Competitive | San Diego, CA | 15 May 12 |
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Investment Placement Group founded in 1983, is a highly specialized broker dealer and investment advisor with ...
| Corporate Paralegal - Private Equity | BlackRock not disclosed | Princeton, NJ, 08540 | 14 May 12 |
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See job description below
| Inquiries Group Assistant Manager | Morgan Stanley not disclosed | New York, NY | 14 May 12 |
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See job description below
| Attorney for Corporate Treasury and Disclosure | Morgan Stanley not disclosed | New York, NY | 14 May 12 |
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See job description below
| Director Market Surveillance | CME Group not disclosed | New York, NY | 14 May 12 |
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See job description below
| Regulatory Risk Manager - MBS | Comprehensive Recruiting Outstanding compensation and benefit pla... | New York City, NY | 14 May 12 |
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Global financial firm is looking to add a Risk Manager responsible for assessing and managing financial risks ...
| Compliance Testing Vice President | Morgan Stanley not disclosed | New York, NY | 14 May 12 |
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See job description below
| Compliance Associate | The Bachrach Group, Ltd market competitive | Manhattan, NY, 10167 | 14 May 12 |
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Major International Investment Banks seeks highly motivated individual to assist their Compliance/Legal Depart...
| VP - Investment Adviser Testing & Monitoring | The Forum Group Base salary, bonus and benefits. | Manhattan, NY, 10016 | 14 May 12 |
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Our client, a global investment bank has an opportunity focused on Monitoring, Surveillance & Testing within t...
| Investment Adviser & Structured Investments Compliance | The Forum Group Base salary, bonus and benefits | Manhattan, NY, 10016 | 14 May 12 |
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Our client, a top global investment bank, seeks to increase head-count within one of it's compliance teams due...
| VP, Administrative Manager | The Forum Group Base salary, bonus and benefits. | Stamford, CT, 06907 | 14 May 12 |
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The Role of the Administrative Manager is to implement and ensure that internal and external policies and proc...
| AVP / VP Fixed Income Sales & Trading Advisory | The Forum Group Base salary, bonus and benefits. | Manhattan, NY, 10016 | 14 May 12 |
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The candidate will be primarily responsible for providing compliance advisory support to the Rates Sales & Tra...
| VP Compliance Investment Advisory | The Forum Group Base salary, bonus and benefits | Manhattan, NY, 10016 | 14 May 12 |
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This role will support the Monitoring & Testing function by carrying out reviews pursuant to Rule 206(4)-7 of ...
| Compliance Branch Manager | The Forum Group Base plus bonus | Manhattan, NY, 10014 | 14 May 12 |
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Our client, an international wealth management firm is looking to bring in a compliance or administrative mana...
| Compliance Officer - Corporate Finance | The Forum Group Base salary, bonus and benefits | Manhattan, NY, 10016 | 14 May 12 |
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Providing real-time support to Corporate Finance businesses, primarily Investment Banking Coverage and Advisor...
