Banking jobs, finance careers, Compliance / Legal jobs & financial recruitment. Browse Compliance / Legal jobs in the USA & apply online

Job Search
Search
Advanced
Post Your Resume

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.

Show more » « Show less

Showing 1-30 of 76 jobs
Compliance Technology Sr. Consultants/Mgrs for Global Advisory Firm in NYC Mindstaff Open New York City, NY 25 May 13

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

Asset/investment Management Compliance Officer JCW Search $50 - $150 per hour New York City, NY 24 May 13

Major investment management firm seeks a number of professional Compliance officers from an asset/investment m...

AML Enhanced Due Diligence Analyst Morgan Stanley Competitive New York City, NY 24 May 13

See job description for details

Investment Advisory Services Surveillance Analyst Morgan Stanley Competitive New York City, NY 24 May 13

See job description for details

Global AML and OFAC/Sanctions Risk Assessment Coordinator Morgan Stanley Competitive New York City, NY 24 May 13

See job description for details

VP - AML Officer Morgan Stanley Competitive New York City, NY 24 May 13

See job description for details

ISG AML Coverage Manager Morgan Stanley Competitive New York City, NY 24 May 13

See job description for details

AML Quantitative Analyst Morgan Stanley Competitive New York City, NY 24 May 13

See job description for details

Senior Mortgage Compliance Officer / Private Bank Morgan Stanley Competitive New York City, NY 24 May 13

See job description for details

Compliance Coverage Officer - FID FX and Emerging Markets Morgan Stanley Competitive New York City, NY 24 May 13

See job description for details

Global AML Monitoring and Testing Coordinator Morgan Stanley Competitive New York City, NY 24 May 13

See job description for details

Institutional Equity Division (IED) Compliance Officer Morgan Stanley Competitive New York City, NY 24 May 13

See job description for details

Senior Consumer Compliance Specialist Morgan Stanley Competitive New York City, NY 24 May 13

See job description for details

Bank Anti-Money Laundering Oversight Officer Morgan Stanley Competitive New York City, NY 24 May 13

See job description for details

Regulatory Exams Professional Morgan Stanley Competitive New York City, NY 24 May 13

See job description for details

Infrastructure Transactional/Private Funds Attorney Morgan Stanley Competitive New York City, NY 24 May 13

See job description for details

Institutional Capital Markets Coverage Attorney Morgan Stanley Competitive New York City, NY 24 May 13

See job description for details

Bank Compliance Testing Associate Morgan Stanley Competitive New York City, NY 24 May 13

See job description for details

Director, Compliance Monitoring and Testing Not Disclosed Base Salary Plus Bonus New York City, NY 23 May 13

A top-tier insurance company is looking to hire a Director, Compliance Monitoring and Testing who will develop...

Associate General Counsel - Senior Compliance Officer Not Disclosed Base Salary Plus Bonus New York City, NY 23 May 13

A top-tier insurance company in New York is currently looking to hire an Associate General Counsel - Senior Co...

AVP Equities Compliance Advisory The Forum Group Base salary, bonus and benefits. New York City, NY 23 May 13

Our client a global investment bank, seeks to add to it''s on the trading desk compliance advisory team.

Compliance AVP / VP - QA and Conformance The Forum Group Base salary, bonus and full benefits. New York City, NY 23 May 13

Our client, a global investment banks has an exciting, created opportunity within it''s Global Compliance team...

Senior Compliance Analyst The Forum Group Base salary, bonus and excellent benefit... New York City, NY 23 May 13

The Guidelines and Restrictions team is responsible for monitoring investment guideline compliance for institu...

AVP / VP Dodd Frank Testing The Forum Group Base salary, bonus and benefits New York City, NY 23 May 13

Our client, a global investment bank is seeking to a fill a newly created role at either AVP or VP level depen...

Private Equity Compliance Associate The Forum Group Base salary, bonus and benefits. New York City, NY 23 May 13

Our client is a well recognized and highly respected investment and advisory firm with an unparalleled opportu...

VP AML Private Equity The Forum Group USA New York City, NY 23 May 13

Our client, one of the largest and most prestigious Private Equity firms in the world has a newly created oppo...

VP Fixed Income Surveillance The Forum Group Base salary, bonus and benefits New York City, NY 23 May 13

Our client is a top tier, global investment bank looking to expand their Compliance team with a highly qualifi...

Lead Compliance Coverage Officer for US Finance Morgan Stanley Competitive New York City, NY 23 May 13

See job description for details

Bank Compliance Testing Associate-Retail Morgan Stanley Competitive New York City, NY 23 May 13

See job description for details

Director/Manager in Financial Holding Co. Monitoring and Testing Morgan Stanley Competitive New York City, NY 23 May 13

See job description for details

Create an email alert for the latest jobs matching this search Compliance / Legal, New York, USA
Create email alert
RSS

Sponsored jobs