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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 104 jobs
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.

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.

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.

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...

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...

Risk - Control Room (AVP) Deutsche Bank not disclosed Hong Kong SAR 21 May 12

Part of the Compliance Operations function which provides operational services and change management capabilit...

Hong Kong - Associate Director, AML/CTF Compliance - Regional Role Macquarie Information not provided Hong Kong SAR 21 May 12

We are currently seeking a highly experienced, regional director level candidate in Anti-Money Laundering to m...

Compliance HK, APAC Investment Banking, Research & Private Equity Compliance, Manager / Director Morgan Stanley not disclosed Hong Kong SAR 21 May 12

See job description below

Regional Compliance Director (Private Banking), Regional Opportunity, 110k-130k Robert Half Hong Kong 110K - 130K Hong Kong SAR 21 May 12

A fantastic opportunity for an experienced compliance professional to take on a senior level compliance role w...

Compliance Manager, Insurance Robert Half Hong Kong 50K - 80K Hong Kong SAR 21 May 12

An outstanding opportunity exists for an experienced Compliance Manager to join a leader within the Insurance ...

Compliance Manager, General Compliance, Banking Robert Half Hong Kong 35K - 60K Hong Kong SAR 21 May 12

Due to expansion plan, they are identifying for someone with either AML or General Compliance background, repo...

Senior Compliance Manager - Securities Taylor Root Hong Kong Attractive Remuneration Hong Kong SAR 21 May 12

An exceptional opportunity has arisen to join this well regarded Securities firm as a Senior Compliance Manage...

Asset Management Compliance Taylor Root Hong Kong Attractive Remuneration Hong Kong SAR 21 May 12

An excellent opportunity has arisen with this leading investment bank for a seasoned compliance professional t...

Senior Compliance Manager/ Officer for Head of Compliance role -- INVESTMENT BANKING | HK | Carlton CP Very Competitive Hong Kong SAR 21 May 12

My client is a top tier bank based in Hong -Kong looking for a Senior Compliance Manager to step in to a Head...

VP, Compliance Team Head, Securities (60-70k/mth) Robert Half Hong Kong 60K - 70K Hong Kong SAR 21 May 12

A stable and growing financial group, with SFC type 1, 2, 4, 7, 9 licenses is looking for a responsible and de...

VP, Regional Compliance, Asset Management (1mill + base) Robert Half Hong Kong $1mill + base Hong Kong SAR 21 May 12

A multi-billion dollar asset manager is looking for an independent, responsible and detailed oriented complian...

Assistant Compliance Manager, Asset Management (30-45k/mth) Robert Half Hong Kong 30K - 45K Hong Kong SAR 21 May 12

A multi-billion dollar asset manager is looking for an independent, responsible and detailed oriented complian...

Associate, Equities Compliance, Investment Bank Robert Half Hong Kong 35K - 60K Hong Kong SAR 21 May 12

This is an unusual opportunity for experienced Equities Compliance candidates.

Compliance Manager, Insurance Robert Half Hong Kong 35K - 60K Hong Kong SAR 21 May 12

Our Insurance client is seeking to appoint an experienced Compliance Manager to effectively manage the company...

Senior AML Compliance Officer, Financial Institution Robert Half Hong Kong 20K - 40K Hong Kong SAR 21 May 12

They are rapidly growing in their APAC market and are currently looking for an experienced Compliance professi...

Associate - Control Room Compliance, Investment Bank - $40-60K Robert Half Hong Kong 40K - 60K Hong Kong SAR 21 May 12

This role sits within the control room division at a reputable investment bank in a newly created head count.

Compliance Manager, IBD and Research Ardent Emerging Markets Competitive Hong Kong SAR 21 May 12

Our client, a tier 1 institution, seeks a high-caliber compliance professional to join their busy IBD complian...

Vice President - Licensing Pure Search Hong Kong Attractive Hong Kong SAR 21 May 12

A top tier Investment bank is looking for a senior Compliance professional to oversee the Corporate Disclosure...

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