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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| Contract Analyst - Abu Dhabi | Nicoll Curtin Ltd £37000 - £39500 per annum + TAX FREE | UAE-Abu Dhabi | 21 May 12 |
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A Global leader in wealth funds based in Abu Dhabi is seeking to expand it's Relationship and Supplier Managem...
| Legal Counsel | First Gulf Bank Excellent package | UAE-Abu Dhabi | 20 May 12 |
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Provide legal advice and support to the Retail banking business with particular emphasis on Wealth Management ...
| Senior Legal Counsel | First Gulf Bank Excellent package | UAE-Abu Dhabi | 20 May 12 |
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Provide Ledal advice and support on general legal matters or in specialized areas including complex legal issu...
| Fraud Risk | Barclay Simpson Competitive tax free salary + benefits | UAE-Dubai | 17 May 12 |
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Fraud Risk - several vacancies - Associate to Director level - Big 4 consultancy - UAE & Saudi Arabia - Compet...
| Contract Analyst - Abu Dhabi | Nicoll Curtin Ltd £37000 - £39500 per annum + TAX FREE | UAE-Abu Dhabi | 16 May 12 |
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A Global leader in wealth funds based in Abu Dhabi is seeking to expand it's Relationship and Supplier Managem...
| Compliance Officer ( DFSA Licensed ) | Swisslinx Middle East Competitive | UAE-Dubai | 15 May 12 |
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On behalf of our client, a leading Swiss Private Bank, Swisslinx is currently seeking an experienced DFSA Comp...
| Compliance Officer | Chartis Competitive | UAE-Dubai | 14 May 12 |
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Great opportunity for a junior compliance professional to join a leading global insurer. Arabic speakers pref...
| Senior Compliance Officer | Reed Banking Tax Free Salary and Benefits | UAE-Abu Dhabi | 13 May 12 |
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Our client, a successful company in Abu Dhabi, is currently looking for an experienced Compliance Officer to j...
| Compliance Manager | Michael Page International (UAE) Limited Competitive | UAE-Dubai | 07 May 12 |
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A well reputed regional bank in the UAE seeks a Compliance Manager to joins its AML/Sanctions team based in Du...
| Compliance and Risk Officer | Hays Dubai Negotiable + Benefits | UAE-Dubai | 06 May 12 |
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Global organisation require a Compliance and Risk Officer to join their operation in Dubai. You will hold resp...
| Senior Sanctions Compliance Officer | Barclay Simpson Highly competitive Salary + Bens + Bonus | UAE-Abu Dhabi | 03 May 12 |
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New position - Leading Bank - UAE - Middle East - Senior Sanctions Compliance Officer - Attractive tax free sa...