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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 181 jobs
Chief Compliance Officer/CCO (Investment Bank) Albert Cliff $ DOE + Bonus UK-London 22 May 12

CCO will oversee all aspects of compliance in support of the Bank growing UK business. You will be responsible...

Compliance Officer - Advisory Jigsaw Search £40k-£50k Basic - Excellent Bonus UK-London 21 May 12

Great opportunity for a Compliance Officer to come into an award winning Investment Platform and be responsibl...

Regulatory Reporting Accountant MC Partners Ltd. £45,000 UK-London 21 May 12

An excellent opportunity has arisen to join a FTSE250 listed Bank based in the City. This is a varied and chal...

REGULATORY POLICY MANAGER MC Partners Ltd. £80,000 + car allowance UK-London 21 May 12

An excellent opportunity has arisen to join a Global Banking Group to steer the business on regulatory treatme...

Regulatory Manager – Credit Risk Capital Reporting MC Partners Ltd. £60,000-£80,000 UK-London 21 May 12

An excellent opportunity has arisen to join a leading Banking Group within Corporate and Investment Banking. T...

Compliance Officer Eames Consulting -Compliance Highlt Competitive base salary + benefit... UK-London 21 May 12

An excellent opportunity for a strong Compliance professional with an insurance background to prgress and furt...

Commodities Surveillance/Monitoring Compliance Officer Eames Consulting -Compliance £45,000 to £65,000 UK-London 21 May 12

This client, a hugely successful financial services company, is currently recruiting for a surveillance/monito...

Compliance Manager PSD RISK £Negotiable, attractive package UK-London 21 May 12

An excellent opportunity for an experienced Compliance professional to join an established Asset Manager.

Derivatives Lawyer - Part-time UBS AG Competitive UK-London 21 May 12

We are looking to recruit a Lawyer to join the UBS Global Asset Management legal team in London to work on der...

Banking Know-How Lawyer TFPL £80-£90K Per Annum UK-London 21 May 12

Finance know-how lawyer Permanent London Looking for a know-how lawyer with a project finance skill set...

Hedge Fund Compliance Officer O'Connell Resourcing Competitive UK-London 21 May 12

A very successful Hedge Fund with an excellent track record and sizeable AUM have a need for a Compliance Offi...

VP - FI Compliance Advisory Hudson Banking Excellent Package. UK-London 21 May 12

Our client is a tier one investment bank that seeks an experienced compliance professional to join the Fixed I...

Compliance Senior Manager - TCF Hudson Banking £80000 - 110000 per annum UK-London 21 May 12

Financial institution based in London is looking for a Compliance Manager to manage their Customer Treatment t...

Compliance Manager - Capital Markets Advisory Hudson Banking £60000 - 80000 per annum - flexible UK-London 21 May 12

Global banking organisation is looking for a Compliance Officer for their Markets Advisory team.

Compliance Manager, Regulatory Advisory Hudson Banking £65-75,000.00 UK-London 21 May 12

Our client is a leading asset management firm that requires an experienced compliance professional to join the...

Compliance Manager - Regulatory Competence Hudson Banking £55000 - 70000 per annum UK-London 21 May 12

Leading banking organisation is looking for a Compliance Manager - Regulatory Competence for their team in Lon...

Senior Compliance Manager, Advisory Compliance Hudson Banking £95000 - 115000 UK-London 21 May 12

Senior Compliance Manager required for a leading financial institution within their Private Side Advisory Comp...

Compliance Projects - Takeover Panel Hudson Banking Market Rate UK-London 21 May 12

Our client is a leading global investment bank that requires a contractor with strong systems and process expe...

Business Continuity Trainee Société Générale - UK Competitive UK-London 21 May 12

To provide support to business lines to ensure that their business continuity requirements are articulated and...

Compliance Trainee - 11 months Fixed Term Contract Société Générale - UK Competitive UK-London 21 May 12

To provide compliance and administrative support to the Policy Training & Registrations Team, and the UK Compl...

Compliance Manager up to 12 month Fixed Term Contract Square Mile Connections up to £65,000 UK-London 21 May 12

An excellent opportunity for an experienced Compliance Manager, with expertise in providing advice, guidance a...

UK Compliance Director Square Mile Connections £80,000 - £100,000 UK-London 21 May 12

A large multinational bank is seeking an experienced Audit & Compliance Specialist to join their Real Estate a...

EMEA Regional Lead - Compliance Supervisory Review Programme UBS AG Competitive UK-London 21 May 12

A great opportunity has become available to move into Compliance or take a new direction in your compliance ca...

Lead Compliance Officer - IBD Compliance Advisory UBS AG Competitive UK-London 21 May 12

We're seeking a Compliance professional with a skill set that involves extensive knowledge within IBD Advisory...

Trading Compliance Citifocus £Attractive Package UK-London 21 May 12

High calibre individual with significant financial markets experience, which will include in-depth knowledge o...

Legal Counsel -- Structured Products Citi not disclosed UK 21 May 12

See job description below

Head of Contol & Governance, Asset/Fund Management Agg Jones £80-100k Base + Excellent Benefits UK-London 21 May 12

Agg Jones are working with the Wealth arm of a Tier 1 Bank who are looking to appoint a Head of Control & Gove...

Compliance Officer SEI Investments (Europe) Ltd. Competitive salary plus excellent benefi... UK-London 21 May 12

The London-based Compliance Team develop, implement, monitor and work to enhance procedures, key controls and ...

Transactional Lawyer SEI Investments (Europe) Ltd. Competitive salary plus excellent benefi... UK-London 21 May 12

The Attorneys and Legal Assistants on the SEI Europe Legal Team support SEI's international offering of servic...

Analyst Rotation Coordinator - based in London Moody's Investors Service Ltd Competitive UK-London 21 May 12

The recently created Analyst Rotation Coordinator position will play a pivotal role in leading and managing th...

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