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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|Director, Risk Assessments & Testing||The Forum Group Base salary, bonus and benefits.||Jersey City, NJ||23 May 13|
Our client, a top tier financial services firm based in Jersey City seeks an experienced Compliance profession...
|Chief Compliance Officer||Barclay Simpson USA $200-250,000Package||Manhattan, NY||21 May 13|
Our client is a European alternative asset manager with a US office that is due to double in size during 2013....
|Manager, MSWM Compliance Communications and Training Group||Morgan Stanley Competitive||Jersey City, NJ||19 May 13|
See job description for details
|Mortgage Compliance Analyst, WMA Banking & Trust Compliance Group||UBS Wealth Management Competitive||Weehawken, NJ, 07086||16 May 13|
UBS Wealth Management Americas
|Director of Compliance/Legal||IJC Partners base & bonus||Jersey City, NJ||16 May 13|
Compliance Director/Legal needed for hedge fund
|Bloomberg Vault Senior Sales Representative Job||Bloomberg Negotiable||Manhattan, NY||14 May 13|
Vault Senior Sales Representative
|Ethics & Compliance CPA/CPE Manager I||PwC Exepmt||Jersey City, NJ||24 Apr 13|
Objective to monitor,process, review,compile
|Bloomberg Vault - Product Manager Job||Bloomberg Negotiable||Manhattan, NY||21 Mar 13|
Bloomberg Vault - Product Manager
|R&D Cloud Compliance & eDiscovery Manager||Bloomberg Negotiable||Manhattan, NY||01 Mar 13|
Bloomberg is looking for a leader for its Bloomberg Vault (Cloud Compliance & eDiscovery) development team.