Compliance/Legal: currently 954 jobs.The latest job was posted on 28 May 15.
Compliance / Legal
The majority of the individuals working in compliance / legal are there to ensure that customers and internal staff behave appropriately and in accordance with the law and regulations. They monitor the activities of the firm, and its workers, making sure that the the rules and regulations of the country in which they are headquartered, or the countries in which they operate are adhered to.
There are many different subcategories of compliance / legal, including AML, surveillance, and control room operations. AML, or anti money laundering, is about preventing criminals from using the financial institution to make their ill-gotten gains appear legitimate. Surveillance is the monitoring of suspicious behaviour, particularly of those transactions that involve clients who have been flagged on a watch list, such as those subject to international sanctions. Control room operations involves maintaining the firm’s restricted list of investments that are not allowed to be held by staff, and ensuring that information and data is only shared with individuals within the firm on a need-to-know basis.
Those wishing to work in this sector will need to be well versed in national and international regulations, particularly if working for a global bank. Regulations vary by country, and many changes have been introduced as a result of the recent financial crisis. In the United States, the Dodd-Frank Act is having a major impact on financial institutions and globally rules developed by the Bank for International Settlements’ Basel Committee referred to as Basel III are being introduced gradually over the next few years. Having an understanding of significant regulations like these will increase your chances of finding employment.
Compliance / legal work is in essence that of an internal law enforcer. A large part of the role involves building relationships, particularly with front office staff, but it’s also necessary to be brutal when required. Compliance / legal workers need to have a good eye for detail, be inquisitive if something doesn’t seem right, and not be afraid to whistle blow. It can be a tough job, but it’s one of the most important roles in the financial services industry.
The Market & Salaries
There has never been a better time to try to make your way in the compliance / legal sector. Following the recent global financial crisis, banks and other participants are doing all they can to maintain reputation, however there’s always the risk that some firms may cut corners to climb back up the ladder. Many firms are increasing their compliance teams to ensure all processes are above board, and all regulations are adhered to, for example Morgan Stanley has doubled its headcount in this area, so you’ll find plenty of opportunities on efinancialcareers.com.
While salaries have traditionally been unspectacular for compliance workers, the newfound importance attached to the role during this period of recovery has seen salaries shoot up. Graduates can expect to walk in at $60,000, while those with 10 years experience can expect an average of around $500,000, depending upon their area of expertise.
Our client, a well regarded investment management firm seeks to a add an experienced member to it's Compliance team to oversee the Firm's Personal Trading Compliance division. This role is an excellent opportunity for a mid-level compliance professional to gain management experience.
Oversee and administer the Code of Ethics and Personal Trading Compliance program:
Manage team to ensure requirements are met
Preclearance, Post Trade Monitoring and Employee Certifications
Maintain relationship with PTA (Personal Trading Assistant) vendor…
Our client, one of the world's leading investment firms seeks an Associate level attorney to support its registered funds platform – a collection of four open- and closed-end funds that are registered under the Investment Company Act of 1940 or regulated under the UCITS directive.
The Associate will work on a variety of legal and regulatory matters involving the registered funds.
Under the direction of the funds’ Chief Legal Officer, the Associate will be responsible for: (1) reviewing and coordinating regulatory filings; (2) drafting and…
Leading international investment bank is looking for a candidate to be the Head of AML for North America. This person will be reporting directly to the Head of Compliance and will be managing a large team of AML, transaction surveillance, and compliance professionals.
Leading international investment bank with branches and offices in more than 50 countries is looking for a candidate to be the Head of AML for North America. This person will be reporting directly to the Head of Compliance and will be managing a large team of AML, transactio…
AML Analyst (s) needed to help with an ongoing AML alert investigation for a prestigious consultancy firm in Manhattan.
Prestigious Investigative Consultancy firm, leading various Banking & Compliance engagements nationwide.
The AML Analyst (s) will be joining a group of preexisting consultants in Manhattan, as the next phase of an ongoing project workflow begins. These Analysts will be responsible for reviewing transactions, identifying suspicious activity, and escalating cases for further review, after providi…
A global leader in institutional asset management is seeking an experienced professional to fill the role of VP in Compliance.
A global leader in institutional asset management is seeking an experienced professional to fill the role of VP in Compliance. This senior position at a well known and respected firm will provide the ability to lead the compliance team and provide direction through the management of several programs and key projects concerning AML/Privacy/Anti-Fraud Management.
In this role you will be expected to have a thorough …
The Markets Group at the Federal Reserve Bank of New York is responsible for the implementation of monetary and foreign exchange policy, providing payments and custody services to foreign central banks, and auctioning and issuing Treasury debt as the fiscal agent for the U.S. Treasury. As part of these duties, it executes transactions in the open market and conducts detailed analysis of financial market developments in support of the monetary policy decision-making process.
The Cross-Portfolio Policy & Ana…
Develop, implement, and maintain effective compliance program for regulatory inquiries associated with RBC Capital Markets, LLC (“RBCCM” or the “Firm”).
Handle the receipt, response, and follow-up for regulatory inquiries associated with RBCCM.
Field verbal and written inquiries from various regulatory agencies. This may also include investigations or exams initiated by regulatory agencies.
Coordinate and/or conduct due diligence in connection with regulatory inquiries.
Primary leave coverage for Global Markets Businesses and support for Head, legal, Corporate & Institutional and Products, Americas and Head, legal, Financial Markets, Americas. Additional Legal support for all US / Americas / New York law matters as needed.
Key Roles and Responsibilities
Financial Markets (FM) primary Legal coverage across all products
CIC back-up Legal coverage on syndicated loans, (Standard Chartred Bank (SCB) as lender or agent), SWIFT loans (not for trade purposes), loan orig…
EDUCATION and/or EXPERIENCE:
Minimum of 5-7 years of experience within the investments industry (advisory side) required.
Compliance or audit experience within an asset management firm required.
Familiarity with the compliance component of trading systems, such as Charles River, Bloomberg or similar order management/compliance rules based systems is required.
Knowledge of securities data is required.
Experience with derivative securities (Swaps, Currency Forwards, Futures, Tend…
QUALIFICATIONS: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required.
Strong background with regulatory regime of Investment Company Act of 1940, Investment Advisors Act of 1940 as they relate to 206(4)-7 and 38a-1 Programs
In depth knowledge of investment products, strategies and investment instruments
Familiarity with technology relating to …
Prior in house experience in Financial Services Tech Transactions Attorney 6+ years of experience
Tech Transactions Attorney
Tech Transactions Attorney
Structure, draft, analyze and negotiate a wide range of complex technology - related and other commercial contracts, including software licenses, Saas/ASP, market data licenses, e-commerce and online trading platforms, professional services, software development, HR & benefits, telecommunications, hardware acquisition and outsourcing (ITO & BPO…
Researches, implements, and manages the areas of banking regulations and laws, banking policies and procedures, consumer protection, and public interest laws. Oversees compliance procedures and advise on risk management: oversee and train the staff on compliance procedures and issue investigations related to possible non-compliance.
Review and propose modifications to the compliance programs and Enterprise Risk Management framework, as needed.
Partner with businesses to identify, assess, monitor, and report operational risks including ass…
Our Client, a Top Tier Global Investment Bank, is seeking a Sr. Compliance Officer for their Asset Management Division.
He or She will provides compliance support and guidance to the chief compliance officer on issues involving the Investment Company Act of 1940, the Investment Advisors Act of 1940 and ERISA; with a focus on Advertising, Sales and Marketing Review.
Review sales and marketing material for mutual funds and institutional clients. Perform filings with FINRA.
Work closely with the Chief Complianc…
A Global financial services firm seeks a Senior Audit Manager who will be responsible for Regulatory Compliance audits of the firm’s major business lines.
Specifically this will cover their core businesses: Capital Markets Origination, Corporate & Investment Banking, Markets, Treasury & Trade Solutions, Securities & Fund Services, and the firm’s Private Bank division.
This role will contribute to the scoping and execution of Regulatory Compliance audit coverage in accordance with established IA methodology and professional auditing stan…
A leading Prop Trading Firm & Broker Dealer is seeking a Compliance Officer to oversee the Trading activities and manage Firm Risk and Regulatory Compliance.
Must have experience with equities trading and trade reporting.
Must be fluent in all equities trading rules as well as be ware of the regulatory environment
5+ years compliance experience (preferably in a trading firm)
Must possess series 7, 24, and 63 licenses (Series 27 and/or Series 14 a plus)
Experience with all aspects of Broker/ Dealer compliance helpful.
Senior level Compliance role at an established PE firm based in Manhattan.
New York headquartered firm, established for 12 years, $24billion AUM
Drafting and updating compliance policies and testing procedures, liaising with business partners and legal consultants to identify and mitigate compliance risks, analyzing effect of new business initiatives and investment products on the compliance program
Fielding inquiries from management on compliance matters, initiate trainings, draft training materials, assist in …
Global hedge fund seeks an IT Audit & Compliance Associate
The Information Technology team at this global hedge fund seeks a highly motivated and qualified Audit and Compliance Associate will work closely with the Audit and Compliance VP and will be responsible for coordinating with all aspects of Infrastructure, Development, Legal/Compliance, and external auditors to evaluate and enhance industry best practices, audit, disaster recovery, and business continuity processes. Additionally, this role will continue to develop and enhance a pro…
The Treasury Market (TM) Directorate is responsible for monitoring and executing transactions in the U.S. government securities market. It transacts in the Treasury market to fulfill monetary policy directives through open market operations, as well as other key operations such as SOMA securities lending and trade execution for CBIAS customers. It also conducts extensive analytical work on fixed-income markets, with a particular focus on the core interests of Federal Reserve policymakers, such as analysis o…
The New York Fed, on behalf of the Federal Reserve System, offers correspondent banking and custody services to central banks, monetary authorities and certain international organizations to facilitate their official financial operations. The Central Bank and International Account Services (CBIAS) area of the New York Fed's Markets Group serves the U.S. dollar reserve management needs of its official international customers by offering payment, custodial, clearing and settlement, collateral manag…
The Federal Reserve Bank of New York’s US Financial Institutions Department (USFI) seeks a Senior Associate to conduct financial analysis (liquidity, capitalization, profitability) related to large, complex life and multiline insurers. USFI is a department within the Integrated Policy Analysis Group (IPA) which produces policy-relevant analysis of bank and non-bank financial institutions that is forward-looking and integrates data/insights from a variety of sources.
This area is comprised of one manager le…
Boutique hedge fund looking for CCO/General Counsel. The role is a combination between deal structuring and regulatory work.
Bachelor’s Degree & JD Law Degree
At least 8+ years’ experience working in compliance with prior experience in both deal structuring and regulatory work
Experience with RMBS and REMIC
Extensive knowledge of Key Compliance 1940s act
NYC consumer agency needs a temporary paralegal/legal assistant for operational assistance, hard copy case filing, bates stamping, clerical duties, and ad hoc projects as needed.Great opportunity to work in a pleasant environment within the legal department of a public agency.
· Assisting operations with implementing changes in the database or in our processes as a result of identified issues or areas of improvement.
· Assisting with the numbering and organization of all hard copy case files in the case file cabinet
Our client is a global bank who is hiring a Market Risk Rule and CCAR Project Manager. This Vice President level position is very visible working on a growing team based in Midtown, New York City.
Main Function of the Job
Provide day-to-day Project Management of activities focused on implementation of the Dodd-Frank Section 165 requirements (US Basel 2.5 Market Risk Rule) and CCAR Global Market Shock implementation for trading and counterparty book.
Work closely with the team of Business Analysts and SME in Risk, Finance and Technology to…
Robert Half is currently recruiting for a Senior Compliance Associate position within an Investment Consultancy firm. Our client requires 5+ years Compliance experience, ideally from Investment Management or a Hedge Fund, with a strong knowledge of SEC Regulations and the Investment Advisors Act of 1940.
Robert Half Financial Services is currently recruiting for a Senior Compliance Associate position within an Investment Consultancy firm. Our client requires at least 5 years Compliance experience, ideally from Investment Manag…
New York, NY, USA
Permanent, Full time
Robert Half - US
Updated on: 26 May 15