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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 1-27 of 27 jobs
Senior Tax & Wealth Planner (UK coverage) | Zurich Albert Cliff Competitive Switzerland-Zurich 22 May 12

Albert Cliff is proud to work alongside one of Switzerland's top private banks - its name being synonymous wit...

Tax Lawyer | Switzerland | Romandy | Not Disclosed Very competitive Switzerland-Romandy - Geneva 21 May 12

My client, a law firm that benefits from a great reputation in Switzerland, is looking for a tax lawyer to joi...

Senior Legal and Compliance Manager role. | Switzerland | Not Disclosed Very Competitive Switzerland-Zurich 21 May 12

My client is a well-establish Asset Management Company seeking a Compliance Officer to maintain the high stan...

Compliance Officer | Switzerland | Zurich | Not Disclosed Very Competitive Switzerland-Zurich 21 May 12

My client is a top-tier Swiss bank currently looking for a compliance specialist with 3-7 years experience. Th...

Head Special Focus Group – Risk / Regulatory related Analysis UBS AG Competitive Switzerland-Zurich 20 May 12

Head Special Focus Group – Risk / Regulatory related Analysis, Control Function (such as Legal & Com...

Lawyer - Commodity Trade Finance UBS AG Competitive Switzerland-Zurich 19 May 12

As a Commodity Trade Finance Lawyer, you will be part of the Team 'Legal Structured Transactions' and will be ...

Specialist US / EBT Compliance UBS AG Competitive Switzerland-Zurich 19 May 12

This exciting role provides an opportunity for WM&SB client-facing and/or control function professionals t...

Structuring Lawyer - Global Real Estate, GAM UBS AG Competitive Switzerland-Zurich 19 May 12

The Structuring Lawyer will assume responsibility for contributing structuring expertise to the development an...

AML Compliance WM&SB Due Diligence Officer UBS AG Competitive Switzerland-Zurich 19 May 12

Main Tasks: Identification and prevention of general compliance and reputation risks from business relationshi...

Compliance Officer - Wealth Management UBS AG Competitive Switzerland-Zurich 19 May 12

In this role you are responsible for ensuring compliance with the current legal and regulatory standards.

Chief Investment Officer - Zurich AP Executive NA Switzerland-Zurich 18 May 12

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Head of Swiss Regulatory Control and Compliance Swisslinx AG Market Rate Switzerland-Central Switzerland - Zug 15 May 12

Our client is a major trading organisation. They have an innovative pan-asset class trading strategy and now h...

Team Leader Regulations Swisslinx AG Attractive Switzerland-Romandy - Geneva 15 May 12

On behalf of our client, a Swiss financial institution, Swisslinx is currently seeking a dedicated and diligen...

Banking - Lawyer / Legal Counsel - Zurich ChesterWoodInternational To CHF160,000 + Bens Switzerland-Zurich 14 May 12

My client one of Zurichs premier banking groups are looking to recruit a Legal Counsel for their internal tea...

Corporate Tax manager - Financial services PwC Attractive package Switzerland-Romandy - Geneva 11 May 12

Multitalent?

Financing Lawyer Jauch Associates AG n/a Switzerland-Zurich 07 May 12

To support the growth of a global industrial and technology Group, a Financing Lawyer will be employed to advi...

Rechtsanwalt / Rechtsanwältin - Traded Products UBS AG Competitive Switzerland-Zurich 22 May 12

Sie beraten die Handelsabteilung im Tagesgeschäft in sämtlichen Rechtsfragen aus den Geschäftsbereichen Fixed ...

Legal Counsel - Private Banking Robert Walters Switzerland Competitive Switzerland-Zurich 21 May 12

Robert Walters is one of the world's leading specialist professional recruitment consultancies with 47 offices...

Legal Counsel / Common Law qualified German speaker Swisslinx AG market rate Switzerland-Zurich 18 May 12

On behalf of our client, a leading and reputable Bank, Swisslinx is seeking a Legal Counsel to join its Legal ...

Regional Head of Anti-Money Laundering / Leiter Geldwäscherei Coutts & Co AG Competitive Compensation Switzerland-Zurich 18 May 12

Coutts & Co Ltd is looking for a highly qualified candidate for the position of Regional Head of Anti-Money ...

Senior Legal Advisor - Investment Banking (German speaking) Swisslinx AG market rate Switzerland-Zurich 15 May 12

An exciting opportunity for an experienced Legal Advisor has arisen within a leading Swiss bank in Zurich. Thi...

Junior and Senior Swiss Tax Professionals (German speaking) Swisslinx AG very competitive Switzerland-Zurich 15 May 12

An excellent career opportunity has arisen for Tax Professionals to join a world leading institution based in ...

Senior Compliance Officer (German speaking) Swisslinx AG market rate Switzerland-Zurich 15 May 12

A new challenging career opportunity has arisen for a motivated Senior Compliance Officer to join a reputable ...

Trainee Risk Management & Compliance Picard Angst Gruppe keine Angabe Switzerland-Zurich 10 May 12

Die Picard Angst AG ein dynamisches Unternehmen im Finanzbereich mit Sitz in Pfäffikon SZ. Wir bieten für unse...

Senior AML Compliance Oliver James Associates AG Negotiable Switzerland-Midland 26 Apr 12

Large Swiss banking institution looking for Senior AML Officer

Senior Compliance - Private Banking Oliver James Associates AG Negotiable Switzerland-Zurich 26 Apr 12

Prestigious banking house looking for Senior Compliance Officer

Senior Legal Compliance - IB Oliver James Associates AG Negotiable Switzerland-Zurich 26 Apr 12

Investment Bank looking for Senior Legal-Compliance Officer

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