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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 65 jobs
Regulatory Compliance (Consumer Compliance/AML/Broker Dealer/Asset Mgmt) Mgrs and Sr. Mgrs needed for Global Advisory Firm Mindstaff open New York, NY 22 May 12

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

Compliance Director JCW $150,000 - $250,000 Basic + Bonus New York, NY, 10001 21 May 12

International Insurance firm - Director level position - Immediate Interviews and start - Solid career progres...

CRA Officer Hudson City Savings Bank Based on experience Paramus, NJ, 07652 21 May 12

Develops, implements, and monitors community relations programs within designated areas to enhance the Bank's ...

Vice President AIG NA New York, NY, 10001 21 May 12

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Attorney - Top Asset Manager Not Disclosed Strong Manhattan, NY, 10023 21 May 12

We're a top performing, rapidly growing asset management firm in NYC - seeking an attorney on our Compliance T...

Senior Compliance VP/Associate - Top Fund/Asset Manager Not Disclosed Very Competitive Manhattan, NY, 10023 21 May 12

We're a top performing, rapidly growing macro fund/asset manager in Manhattan and are seeking an energetic, ex...

VP - Research Compliance Michael Page International Competitive Package New York, NY, 10174 21 May 12

Reporting directly to the Chief Compliance Officer, this is an opportunity to join a leading financial service...

Vice President - Corporate & Funds Attorney Michael Page International Up to $250K Base + Bonus & Benefits New York City, NY, 10001 21 May 12

Our client is one of the world's leading investment and advisory firms. They are looking for an Attorney t...

Market Regulation Analyst Robert Half Financial Service Group 130K + bonus New York, NY, 10167 21 May 12

Robert Half Financial Services specializes in the placement of professionals with top companies in the market....

Legal and Compliance Risk Examiner (AML Specialist) - Financial Institution Supervision Federal Reserve Bank not disclosed New York, NY, 10001 21 May 12

See job description below

Compliance Officer Federal Home Loan Bank of New York Neg Manhattan, NY, 10178 21 May 12

Manages all aspects of Complicance Division including operational and compliance risk management activities, ...

Mutual Fund Attorney Michael Page International Attractive base salary plus bonus Long Island City, NY 21 May 12

Our client is looking for a Mutual Fund Attorney with in-depth knowledge of the Investment Company Act of 1940...

CCO Derivatives Compliance - Dodd Frank Michael Page International Competitive Salary, Bonus and Benefits Manhattan, NY, 10174 21 May 12

This is a fantastic opportunity to join a leading mid sized financial services institution in a newly created ...

VP, Compliance, Marketing Material Not Disclosed Base Salary Plus Bonus New York, NY, 10017 21 May 12

A top-tier investment management firm is currently looking to hire a VP, Compliance, Marketing Material who wi...

Senior Business Analyst (Dodd-Frank) - Investment Banking Hatstand Competitive New York, NY 21 May 12

Senior Business Analyst with Dodd-Frank (NY/NJ): Business systems analyst with at least 7 years functional exp...

Director of Product Risk Comprehensive Recruiting Open New York City, NY 21 May 12

The Product Director oversees and resolves issues relating to Markt Risk exposures.

VP - Investment Adviser Testing & Monitoring The Forum Group Base salary, bonus and benefits. Manhattan, NY, 10016 21 May 12

Our client, a global investment bank has an opportunity focused on Monitoring, Surveillance & Testing within t...

VP, Administrative Manager The Forum Group Base salary, bonus and benefits. Stamford, CT, 06907 21 May 12

The Role of the Administrative Manager is to implement and ensure that internal and external policies and proc...

AVP / VP Fixed Income Sales & Trading Advisory The Forum Group Base salary, bonus and benefits. Manhattan, NY, 10016 21 May 12

The candidate will be primarily responsible for providing compliance advisory support to the Rates Sales & Tra...

Compliance Branch Manager The Forum Group Base plus bonus Manhattan, NY, 10014 21 May 12

Our client, an international wealth management firm is looking to bring in a compliance or administrative mana...

Compliance Officer - Corporate Finance The Forum Group Base salary, bonus and benefits Manhattan, NY, 10016 21 May 12

Providing real-time support to Corporate Finance businesses, primarily Investment Banking Coverage and Advisor...

VP Financial Crime AML Testing The Forum Group Base salary, bonus and benefits. Manhattan, NY, 10016 21 May 12

Responsible for assessing and helping ensure the sufficiency and consistency of franchise-wide financial crime...

Chief Compliance Officer The Forum Group Base salary, bonus and benefits Manhattan, NY, 10016 21 May 12

This position reports directly to the Director, U.S. of GM Equities Advisory. Local reporting is to the Direc...

VP Compliance Policies and Procedures The Forum Group Base plus bonus New York, NY, 10019 21 May 12

This position is an opportunity to join the policies and procedures group. The policies and procedures group ...

Regulatory Reporting Senior Specialist The Forum Group Base salary, bonus and benefits. Manhattan, NY, 10016 21 May 12

The Analyst is responsible for preparing regulatory filings and written summaries of high risk events, produci...

AVP Compliance Risk Review The Forum Group Base salary, bonus and benefits Manhattan, NY, 10016 21 May 12

Our client, a global investment bank seeks to add staff to their Compliance Risk Review team.

Chief Compliance Officer- Dodd- Frank Michael Page International Competitive New York, NY 21 May 12

Our client is a global foreign bank. The Dodd-Frank CCO will be responsible for managing the large scale proje...

Regulatory Risk Manager - MBS Comprehensive Recruiting Outstanding compensation and benefit pla... New York City, NY 21 May 12

Global financial firm is looking to add a Risk Manager responsible for assessing and managing financial risks ...

Inquiries Group Assistant Manager Morgan Stanley not disclosed New York, NY 21 May 12

See job description below

Attorney for Corporate Treasury and Disclosure Morgan Stanley not disclosed New York, NY 21 May 12

See job description below

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