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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 180 jobs
Information Security Risk consultant required by Tier 1 Investment Bank based in London DBFS Up to £100,000 UK-London 19 May 13

DBFS are currently working with a market leading Tier 1 IB that are searching for a Information Security Risk ...

VP – Compliance/Risk and Controls Hudson Banking £65,000 - £75,000 UK-London 19 May 13

A global investment bank is looking for a VP – Compliance/Risk and Controls. The role holder will join a compl...

Executive Director, Operational Risk (EMEA) Investigo Risk Management Executive Director compensation UK-London 19 May 13

Oversight & Controls - Corporate Risk Management - Operational Risk

Control Group Associate - Compliance, London Morgan Stanley Competitive UK-London 19 May 13

See job description for details

CASS (Client Assets) SME Hudson Banking £75,000 - £95,000 UK-London 19 May 13

A major global bank is looking for a CASS (Client Assets) SME. The CASS SME will become single point of contac...

DCM Compliance Specialist - VP Hudson Banking VP - Very Competitive UK-London 19 May 13

A Global Top Tier investment bank is actively looking for a DCM Compliance Specialist. The DCM Compliance Spec...

Regional Head of Anti Bribery & Corruption Hudson Banking £90,000 - £110,000 UK-London 19 May 13

A Top Tier Investment bank is looking for an EMEA Head of Anti Bribery and Corruption. This is not a tradition...

Fixed Income Compliance Officer - Executive Director Morgan Stanley Competitive UK-London 19 May 13

See job description for details

Global Capital Markets Compliance Officer - Executive Director Morgan Stanley Competitive UK-London 19 May 13

See job description for details

MSIM Fund Lawyer (Executive Director) Morgan Stanley Competitive UK-London 19 May 13

See job description for details

AML Compliance Officer - Director Morgan Stanley Competitive UK-London 19 May 13

See job description for details

Technology, Intellectual Property and E-Commerce Lawyer (Vice President) Morgan Stanley Competitive UK-London 19 May 13

See job description for details

Group Financial Crime Manager Eames Consulting Risk £550-700 per day UK-London 18 May 13

Our client is a global insurance business; they have an urgent requirement for an interim Group Financial Crim...

Compliance Manager/AVP Eames Consulting Risk £350-400 per day UK-London 18 May 13

Our client is a global investment bank and due to the formation of a new team they have a requirement for a Co...

Senior Compliance Manager Carr Lyons £70,000 - £80,000 base UK-London 18 May 13

Carr Lyons is working with a global NBFI which is recruiting an experienced Regulations Compliance Manager for...

Investment Compliance Analyst Mason Blake £55,000 - £65,000 UK-London 17 May 13

Our client is a blue chip leading independently owned Investment Management firm with around £460 billion AUM ...

Compliance Officer Paragon Executive Excellent Package & Benefits UK-London 17 May 13

Our Client, A Global Investment Manager with £250Bn AUM is looking to recruit a Senior Compliance Officer to ...

Global Standards Programme Lead HSBC Global Services Center Competitive UK-London 17 May 13

We are looking for a Programme Lead to work within the global standards group. You will have experience of del...

Regulatory / Capital Markets Lawyers for FI & Global Advisory Not Disclosed Negotiable UK-London 17 May 13

This uppermost tier investment bank seek outstanding lawyers with capital markets and/or regulatory experience...

Prudential Compliance Analyst Pure Search Negotiable UK-London 17 May 13

Outstanding investment bank seek a compliance analyst with strong spreadsheet skills and a reasonable understa...

Corporate Compliance Manager - VP State Street UK Excellent Package UK-London 17 May 13

This role will serve as a project manager for regulatory and compliance program initiatives as well as provide...

Compliance Manager - Global Markets Carr Lyons Very Competitive UK-London 17 May 13

Our Client is a Global Banking Group, now seeking a Compliance Manager, with global markets advisory experienc...

Compliance Manager - CF10/CF11 PSD Risk £90,000+ excellent remuneration pension... UK-London 17 May 13

An excellent opportunity for an accomplished Compliance Officer to join a successful family owned Private Bank...

Compliance Officer and MLRO Officer ICM Capital Competitive package offered UK-London 17 May 13

ICM Capital ltd are seeking a Compliance officer to handle all regulatory matters in relation to FCA. The succ...

Project Manager .HSBC Competitive Rate UK-London 17 May 13

This project manager role will be part of the global Compliance Operations program, sitting across all regions...

Sales & Marketing : Compliance Advisory Hays Specialist Recruitment GBP65000.00 - GBP70000.00 per annum UK-London 17 May 13

A wonderful new opportunity with a premier global fund manager

Credit Risk Methodology - Vice President Greenwich Atlantic Associates Competitive UK-London 17 May 13

A prestigious investment bank are seeking a quantitative credit risk professional with specific IMM / Basel ex...

Legal Executive, Leading Mid-Market Fund, London - 3740 /9D Private Equity Recruitment Competitive UK-London 17 May 13

You will join one of the leading mid-market funds in the UK as a legal professional. This is a senior appointm...

Compliance Monitoring Manager / Investment Banking Altus Search £70,000 to £90,000 UK-London 17 May 13

Compliance Monitoring Manager / Investment Banking

Fund Services Global Legal Adviser - Location London, Luxemburg or Paris BNP Paribas Competitive salary UK-London 17 May 13

  Looking to make a move? An excellent opportunity has arisen for a result driven Fund Services Global Legal...

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