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 Compliance Manager||Paragon Executive Competitive||Ireland-Dublin||17 May 13|
Our Client, One of Europe''s largest Private Wealth Managers is looking to hire a Senior Compliance Manager to...
|Transfer Agency, Compliance Manager||State Street Not Disclosed||Ireland-Dublin||15 May 13|
As an Officer within the Quality, Risk & Compliance team, you will be responsible for the identification, mea...
|Senior Regulatory Professional – Financial Services||Lincoln Search and Selection Salary 80k+||Ireland-Dublin||14 May 13|
Senior Regulatory Professional – Financial Services
|Senior Internal Auditor | Global Bank | Dublin City Centre||Cox Fitzsimons & Wilkes Competitive remuneration package on offe...||Ireland-Dublin||10 May 13|
Financial Services Internal Auditor required for a global banking team covering the Central Europe region. Rol...
|Internal Audit Director | Financial Services | Dublin||Cox Fitzsimons & Wilkes Competitive remuneration package on offe...||Ireland-Dublin||10 May 13|
Director Level Internal Auditor in Banking
|KYC / AML Manager | Investment Bank | Dublin||Cox Fitzsimons & Wilkes Competitive remuneration package||Ireland-Dublin||10 May 13|
KYC / AML Manager
|Regulatory Assurance Manager||Ulster Bank Competitive plus cash and benefits packa...||Ireland-Dublin||08 May 13|
We are looking for a Regulatory Assurance Manager to join our Group Finance team at Ulster Bank in Dublin.
|Senior Compliance Manager||Ulster Bank €Competitive plus cash and benefits pack...||Ireland-Dublin||30 Apr 13|
We''ve an excellent opportunity for a Senior Compliance Manager to join our Compliance Monitoring function at ...
|Company Secretary Roles with Abrivia||Abrivia EUR35000 - EUR60000 per annum + negotiab...||Ireland-Dublin||23 Apr 13|
Abrivia recruitment have been a market leader in company secretarial recruitment since 2005 and currently have...
|In-House Company Secretary 3PQE||Abrivia EUR30000 - EUR50000 per annum + negotiab...||Ireland-Dublin||23 Apr 13|
* General company secretarial support to the business including; * Ensure that all corporate registers and mi...
|Compliance Manager||Abrivia EUR50000 - EUR70000 per annum||Ireland-Dublin||11 Apr 13|