Compliance / Legal jobs and other financial job openings. Browse Compliance / Legal jobs in New York City, USA

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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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SENIOR LEGAL COUNSEL	BNP Paribas Investment Partners Competitive	New York City, NY	19 Jun 13

BNP Paribas Investment Partners(BNPP IP) is one the largest asset management firm in the world. BNPP IP offers...

FATCA Analyst	Fusionfind LLC $80,000 - $90,000 plus bonus	New York City, NY	19 Jun 13

FATCA Analyst for a major midtown bank

VP-SVP, OFAC Sanctions Officer	Mizuho Corporate Bank Ltd Commensurate with experience	New York City, NY	19 Jun 13

Employee will work to strengthen the infrastructure of the bank's OFAC/Sanctions program management.

Compliance Technology Sr. Consultants/Mgrs for Global Advisory Firm in NYC	Mindstaff Open	New York City, NY	19 Jun 13

Lend compliance subject matter knowledge to design and integration phase of each project, to give specificity ...

Compliance Officer-Mortgage Servicing Vendor Management	Morgan Stanley Competitive	New York City, NY	18 Jun 13