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Compliance / Legal jobs in the USA: eFinancialCareers

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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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Account Executive (Institutional Shareholder Services)	MSCI Competitive	Rockville, MD	21 May 13

We''re seeking experienced sales candidates for an exciting corp. to corp. Account Executive opportunity with ...

Branch Controls Manager	AXA Equitable DOE	Boston, MA	21 May 13

Great opportunity in our AXA Advisors Boston branch for a Branch Controls Manager!!!

Branch Controls Manager	AXA Equitable DOE	Baltimore, MD	21 May 13

Great opportunity with our AXA Advisors Baltimore branch for a Branch Controls Manager!!!

Compliance Technology Sr. Consultants/Mgrs for Global Advisory Firm in NYC	Mindstaff Open	New York City, NY	21 May 13

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

Regulatory Compliance (Consumer Compliance/AML/Broker Dealer/Asset Mgmt) Mgrs and Sr. Mgrs needed for Global Advisory Firm	Mindstaff Open	New York City, NY	21 May 13

Effectively manage and motivate client engagement teams in with diverse skills and backgrounds. Consistent...

Compliance Manager II Job	BNY Mellon Competitive	New York City, NY	20 May 13

See Job Description

Business Analyst (Compliance Technology)	Tuttle agency 125000	New York City, NY	20 May 13

YOU MUST HAVE EXPERIENCE WITH - TRADE REPORTING/SURVEILLANCE!

AVP Equities Compliance Advisory	The Forum Group Base salary, bonus and benefits.	New York City, NY	20 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	20 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	20 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	20 May 13

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

Director, Risk Assessments & Testing	The Forum Group Base salary, bonus and benefits.	Jersey City, NJ	20 May 13

Our client, a top tier financial services firm based in Jersey City seeks an experienced Compliance profession...

Private Equity Compliance Associate	The Forum Group Base salary, bonus and benefits.	New York City, NY	20 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	20 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	20 May 13

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

Infrastructure Transactional/Private Funds Attorney	Morgan Stanley Competitive	New York City, NY	19 May 13