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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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Showing 1-30 of 235 jobs
Senior Credit Risk Analyst Michael Page Banking Singapore Attractive Remuneration Singapore 22 May 12

A great opportunity to further your credit risk exposure in a top tier commodities firm with promising career ...

AML - AVP - KYC - Wealth Management Astbury Marsden International S$90000 - S$130000 per annum Singapore 22 May 12

AML - AVP - KYC - Wealth Management - Singapore Wealth Management Institution currently have an immediate hire...

Sales and Marketing Manager, Auto Business Citibank Competitive Singapore 22 May 12

The Sales and Marketing Manager, Auto Business is required to manage the Autoshield telesales team in achievin...

Balance Sheet & Processes Controller Citibank Competitive Singapore 22 May 12

As the Balance Sheet & Processes Controller, candidate should ensure Balance Sheet Sanity of all accounts owne...

Regional GCG AML Compliance Officer Citibank Competitive Singapore 22 May 12

The Regional GCG AML Compliance Officer (Regional GCG AMLCO) assists the Regional GCG AML Compliance Head in c...

Business Risk Specialist UBS AG Competitive Hong Kong SAR 22 May 12

An exciting opportunity has arisen to join UBS as a Business Risk Specialist.

Executive Assistant / Business Manager UBS AG Competitive Singapore 22 May 12

An exciting opportunity has arisen to join UBS as an Executive Assistant / Business Manager.

Compliance Officer, WM - Special Markets and Controls UBS AG Competitve Singapore 22 May 12

An exciting opportunity has arisen to join UBS as a Compliance Officer, WM - Special Markets and Controls.

Compliance Expert, Wealth Management UBS AG Competitive Hong Kong SAR 22 May 12

An exciting opportunity has arisen to join UBS as a Compliance Expert, Wealth Management.

Legal Counsel - Global Asset Management UBS AG Competitive Hong Kong SAR 22 May 12

An exciting opportunity has arisen to join UBS as a Legal Counsel - Global Asset Management.

Head of Legal and Compliance Empiric Solutions Dependant on Experience Indonesia 22 May 12

Head of Legal and Compliance for Retail/Wealth Management within a large, global firm.

Legal Counsel Morgan McKinley (SG) Competitive Singapore 22 May 12

My client is a very well reputed healthcare company that is currently seeking a legal counsel to join their ex...

VP Regional Compliance Advisor Talent2 Hong Kong Attractive Hong Kong SAR 22 May 12

This is a newly created role and the team is seeking for a AVP-VP Regional Compliance Advisory to join the AML...

Senior Compliance Manager – Asset Management Talent2 Hong Kong Attractive Hong Kong SAR 22 May 12

Top tier Asset Management firm is seeking an AVP in Compliance. The team and the member will support the busin...

Training and Development Manager Talent2 Hong Kong circa HK$1.1m per annum + bonus Hong Kong SAR 22 May 12

Great opportunity to work for a leading US law firm with an excellent support structure in place.

Associate/Senior Associate, Client On-boarding and AML Compliance (Private Banking) Kerry Consulting Pte Ltd (Licence No. 03C4828) Attractive Remuneration Singapore 22 May 12

Our client is a major regional private bank and has received outstanding accolades consecutively in recent yea...

Senior Manager - Compliance (Asset Management) Kerry Consulting Pte Ltd (Licence No. 03C4828) Competitive Reumeration Singapore 22 May 12

Major Asset Management Firm looking to hire Compliance Manager due to continued growth

VP, Compliance (Consumer & Wealth) Kerry Consulting Pte Ltd (Licence No. 03C4828) Attractive Remuneration Singapore 22 May 12

Reporting to the Singapore Head of Compliance, you will support the bank's consumer and wealth businesses

VP, AML & Sanctions Kerry Consulting Pte Ltd (Licence No. 03C4828) Attractive Remuneration Singapore 22 May 12

Challenging role where you will provide leadership to promote compliance with the bank's Anti-Money-Laundering...

Legal Counsel, Asia Kerry Consulting Pte Ltd (Licence No. 03C4828) Attractive Remuneration Singapore 22 May 12

Reporting to the Asia Head of Legal, you will responsible for providing commercial legal advice and support fo...

Senior Compliance Officer - Dubai Kerry Consulting Pte Ltd (Licence No. 03C4828) Competitive Market Remuneration Singapore 22 May 12

• Major Commercial Bank • New Branch License in Dubai • Part of Pioneer Team • Mandarin speaking skills is ...

VP- Compliance, Global Investment Bank Profile Search & Selection bonus Singapore 22 May 12

My client is global investment bank with offices around the globe. Its regional headquarters are in Singapore ...

Regional Head of AML Policy, Corporate & Investment Bank Profile Search & Selection Attractive Cash Bonus Hong Kong SAR 22 May 12

Our client is a leading corporate, retail and investment bank that has established a comprehensive global comp...

Vice President, Compliance & Control, Investment Bank Profile Search & Selection Attractive Benefits Package Hong Kong SAR 22 May 12

Our client is an international investment bank which is expanding it's operations across Asia Pacific. In a mo...

Legal Counsel (8-12 yrs pqe) Singapore Hughes-Castell (Hong Kong) Limited Excellent Salary Singapore 22 May 12

This world famous brand & widely-used financial services provider is seeking a senior lawyer to be a vital par...

Privacy Law & Data Protection Counsel (5+ yrs pqe) Singapore Hughes-Castell (Hong Kong) Limited Excellent Salary + Benefits Singapore 22 May 12

This world famous, widely-used financial services provider is seeking a dynamic lawyer to oversee a range of l...

Senior Trade Surveillance Analyst Michael Page International Attractive Package Hong Kong SAR 22 May 12

AVP - VP level role for a Global Investment Bank.

HKMA Compliance Associate Director Michael Page International Attractive Package Hong Kong SAR 22 May 12

Be part of a dynamic and expanding team in their Compliance and Risk Management Division

Regional AML Compliance Officer - Investigator Michael Page International Attractive Package Hong Kong SAR 22 May 12

AVP to VP level. Our client is a Global Bank looking for experienced AML Investigation candidate for this grow...

Compliance Manager, Life Reed Specialist Recruitment Hong Kong HKD38,000 - 50,000 Excellent Salary Incr... Hong Kong SAR 22 May 12

Our client is one of the largest financial institution in Hong Kong. Due to the expansion in Asia, they are no...

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