Compliance/Legal: currently 814 jobs.The latest job was posted on 18 Dec 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.
The Senior Manager – Global Anti-Corruption will be accountable for the day to day management, development, growth and maintenance of BMO’s Global Anti-Corruption Program as it pertains to the UK & Europe.
The Bank of Montreal operates a number of business lines through its PCG and Capital Markets operations in Europe (UK, Paris, Ireland and Switzerland) & Australia including M&A, Corporate Banking, Credit Investments, Research and Trading and Sales in Money Markets, Forex, Derivatives, Capital Markets and Equities.
The successful candida…
Premier bulge bracket bank in NYC has an immediate need for a Sanctions compliance officer for its growing compliance department. Contact Jordan at email@example.com.
Premier bulge bracket bank in NYC has an immediate need for a Sanctions compliance officer for its growing compliance department. Ideal candidate has some background in military intelligence, 2-3 years of experience in escalations, alerts, investigations into individual payments that have Sanctions or AML issues, and regulatory filtering. Team is made up of nice, easy …
The Financial Crime function implements a compliance framework to meet the requirements of anti-money laundering, anti-terrorism, anti-bribery & corruption and economic sanctions laws and regulation.
The position entails conducting monitoring and testing activities of financial crime processes. The role requires interacting with business, operations, compliance, risk and other infrastructure areas, assessing the design and operating effectiveness of systems and controls to mitigate financial crime risk, and driving remediation actions to …
Our client a well regarded, global wealth management and advisory firm seeks a CCO to oversee their Investment Advisers & Investment Services division.
Specific responsibilities include:
Oversee all aspects of compliance related to the operation of an SEC registered U.S. Investment Advisor and a FINRA member broker-dealer; including, but not limited to: AML policies and procedures, personal trading, books and records
Assist with compliance efforts of affiliated registered advisor in Hong Kong;
Maintain effective compliance policies a…
The Governance & Control (G&C) team provides support to management at the Group level as well as the Personal & Corporate Banking and Investment Bank Divisions.
Own the overall framework for internal governance.
Promote a standard approach to measuring the effectiveness of, and reporting on, the control environment
· Deliver an holistic picture of the Firm's control environment and managing the associated control issues
This is a Senior Manager role within the Conformance & Assurance team, which h…
Applicant should be a seasoned compliance professional with at least 10 years of compliance experience within an asset management organization. Individual should have at least 5 years providing direct supervision. The applicant should be able provide oversight in the following areas and also strategic direction.
Primary Oversight Responsibilities:
Code of Ethics and Personal Trading Compliance program
Preclearance, Post Trade Monitoring and Employee Certifications
Outside Business Activity reviews
Other Employee Conduct & Regulatory pol…
Our client, a top tier global investment bank, is looking to add to it's Capital Markets compliance team.
Candidate will focus on providing real-time support to Corporate and Investment Banking businesses, primarily Capital Markets and Treasury Solutions which focuses on IG and high-yield bond offerings, leveraged loan syndications, corporate derivatives and related businesses. This will involve advising on issues (questions, problems or proposals) related to Chinese walls and information barriers, underwriting securities offerings, loan…
Our client a global investment bank seeks to add a Director level hire to lead their Regulatory Relations & Examinations division.
Assist in leading examinations across all US Regulators
Advisory role with Control Functions and the business
Serve as a primary liaison for Regulators with regards to a specific function(s) or practice
Regular and frequent interaction with senior management and Regulators on global issues
Represent the Regulatory Relations function in all meetings with Regulators
Train/educate and potentially manage colleague…
This coverage includes the following business lines: Credit Sales and Trading (including Investment Grade, Leveraged Finance, Distressed Products, and Loans); Credit Structuring; and Credit Portfolio Strategies (which manages the firm’s lending and counterparty exposure).
Responsibilities will include:
Managing the local compliance program for this business area in a manner designed to meet regulatory requirements and industry best practices. Identifying regulatory trends and developments, advising business staff as to how this may impact…
Our client, a global investment banks has an exciting, created opportunity within it's Global Compliance team.
Key responsibilities will include:
Establish a new global function from scratch which will deliver an effective and efficient Compliance QA and Conformance Testing process
Put in place a sophisticated QA and Conformance testing policy and training programme
Promote and communicate the embedding of this function throughout the organisation and oversee the development and implementation of high quality policies and standards
FINRA is seeking a well-qualified individual for our Compliance Examiner opening in Chicago, IL. To be considered for this position, please submit your resume through our career site at www.FINRA.org. No phone calls, please.
We Work to Protect Investors. Join our Team.
FINRA is seeking a well-qualified individual for our Compliance Examiner opening inChicago, IL. To be considered for this position, please submit your resume through our career site at www.FINRA.org. No phone calls, please.
Examiners review or inves…
The Conduct, Compliance & Operational Risk team seek to enhance control and enable sustainable growth through delivery of proactive support and constructive challenge to the business.
The CCOR team has responsibility for business oversight and assurance activities in relation to Conduct & Compliance, Operational Risk and Financial Crime; in addition to implementing the Conduct Strategy, managing the People Risk Agenda, liaison with the regulators and managing Insurable Risks for the Group. …
The Risk Management Group is an independent, centralised unit responsible for assessing and monitoring risks across the Macquarie Group
The Risk Management Group (RMG) is an independent, centralised unit responsible for assessing and monitoring risks across Macquarie. This includes market and liquidity risk, credit risk, compliance risk and operational risk. RMG personnel liaise closely with all operating areas to ensure risks are understood and properly managed.
Strong prudential management has been a key to Macquarie's success over man…
KYC Manager (Reviews) -Market Leading Bank - £55,000 - £65,000
One of the market leading corporate investment banks is looking to add a KYC manager to their existing Reviews team.
As one of the world's leading corporate investment banks this institution offers a range of financial services. They facilitate a large client base which spans multiple jurisdictions cementing a respected a widely known global footprint. They have a healthy compliance culture across all 3 lines of defence and are looking to add a KYC Rev…
AML KYC Analyst - Market Leading Investment Bank - £50,000 - £60,000
One of the market leading investment banks is looking to add to their existing AML KYC team with a KYC Analyst who is expert within their position.
Leading the market this bank has a low risk appetite coupled a healthy compliance culture. They deal with a range of different products across multiple jurisdictions. The majority of their operations are based throughout Europe however; they do hold a global footprint.
As a KYC professional y…
WFS Operations This position is an Industry and Regulatory Oversight Manager supporting Wells Fargo Securities Operations. The individua...
This position is an Industry and Regulatory Oversight Manager supporting Wells Fargo Securities Operations. The individual will work closely with Regulators and Auditors of Wells Fargo to develop working relationships and represent operational processes, improvements, and impact. The individual will also partner with Legal, Compliance, Business Management, Project Management Office, Fin…
Internal Audit Manager - Compliance & Legal Investment Banking London, UK Up to £80,000 + bonus + benefits
A Top Tier Investment Bank with significant global presence is currently recruiting for an experienced internal auditor to join their Compliance Audit function. As the intensity of regulatory change continues to impact the market and the increase in prudential controls drives greater scrutiny, this investment bank has significantly increased the size of its audit function. They are renowned for attracting the top talent in …
This is a unique and newly created role within the soon to launched direct retail business of one of Europe's foremost financial services groups
The company is at the forefront of global financial innovation and has a fast growing London office in the heart of central London
This pivotal role will give the incumbent the chance to shape and develop the compliance
Designs and oversees the implementation, execution and maintenance of compliance policies, procedures and monitoring programme for a direct retail busine…
This is a fantastic role for a compliance professional with at least one year’s experience. The role will combine excellent support and training from the Head of Compliance with autonomy and responsibility in a progressive environment.
The firm is a specialist investment manager in London and this is a brand new role to support the Head of Compliance for the UK.
The role will include:
Supporting the development and implementation of policies, processes and procedures to comply with FCA regulatory requirements
Supporting compliance testi…
DBFS are currently recruiting for a MIFID II SME to assist in the delivery of projects for our leading buy and sell side clients.
The successful candidate will need to have strong client facing skills and experience of previously delivering regulatory projects. The role will focus on acting as a MIFID II SME, assisting in providing some strategic advice to clients implementing the large change projects needed.
MiFID II experience/knowledge is necessary with a focus on:
Micro structural issues (Algo/HF…
The individual will gain a good understanding of UBS’s on-boarding strategy and products. This role looks to build on existing internal networks held by the team and document how we can improve them going forward. There is immediate exposure to many areas at all levels.
The Corporate Center ensures that our business divisions operate as a coherent and effective whole by providing and managing support and control functions for the business divisions and the Group including risk management and control (including compliance), finance and leg…
To plan design, conduct, report on and generally deliver different types of compliance monitoring reviews in an effective and timely manner. To build relationships with stakeholders, deliver an exceptional performance in the provision of assigned regulatory activities and help drive through compliant requirements and change.
The SIEL Compliance Team (“Compliance Team”) design, implement, monitor and manage the firm’s policies and key controls and procedures seeking to ensure that the firm’s control, risk and governance structures are adeq…
Enjoy market surveillance? Want to work for the most reputable Exchange? Enjoy Project work? You should apply to this job…
To take ownership of a certain client base and ensure trading activity is within pre agreed timelines
Understand client trading books to ensure you’re in the best position to see unusual activity
Discuss any activity that looks out of the ordinary with relevant stakeholders and external clients
Project management changes to systems and processes within the tram and role out to the wider company once tested…
Sous l'autorité du responsable du pôle restructuration des entités et des actifs des
La volonté de se dépasser, le courage de relever des défis, la soif d'apprendre, tels sont les principes qui guident nos collaborateurs.
Attentif au bien-être des quelques 1.400 hommes et femmes qui composent le groupe - principalement en France et en Belgique - , soucieux de se montrer digne de la garantie des Etats belge et français, Dexia SA est engagé depuis 2011 dans un plan de démantèlement validé par la Commission européenne fin décembre 2012.
Paris, Ile-de-France, France
Temporary, Full time
Dexia Crédit Local
Posted on: 18 Dec 14