Compliance/Legal: currently 774 jobs.The latest job was posted on 01 Nov 14.
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.
Moody's is an essential component of the global capital markets, providing credit ratings, research, tools and analysis that contribute to transparent
Moody's is an essential component of the global capital markets, providing credit ratings, research, tools and analysis that contribute to transparent and integrated financial markets. Moody's Corporation (NYSE:MCO) is the parent company of Moody's Investors Service, which provides credit ratings and research covering debt instruments and securities, and Moody's Analytics, which offers lead…
They're looking for a senior addition to their legal team with buy-side experience. This is an excellent opportunity for an experienced legal professional to be part of a growing structure, reporting to directly to the CFO
Our client is a leading hedge fund headquartered in Boston. They're looking for a senior addition to their legal team with buy-side experience. This is an excellent opportunity for an experienced legal professional to be part of a growing structure, reporting to directly to the CFO.
- Mange al…
Amazing change to work with a Top Hedge Fund in Boston
An Alternative investments firm seeks a Senior Operational Due Diligence Analyst who will work with Risk Management Team on operational due diligence on hedge funds and long-only asset managers.
• Primarily emphasize: risk assessment of business models, compliance policies and procedures, trade processing and valuation practices, counterparty/financing risks, technology infrastructure and regulatory framework.
• Presents to Management in-depth analysis of key business risks, weaknesses and ongoing concerns regarding in…
Located: St. Louis, Mo , New York, New Jersey A national retail institutional brokerage firm is seeking a Senior Compliance Examiner to ensure branch compliance with Firm policies, procedures and industry rules.
Conducts on-site audits which test for compliance with SEC Books and Records and prepares summary reports indicating the status of any findings and plans for corrective actions.
Recommends and oversees the implementation of corrective action.
Requires advanced knowledge of federal and state compliance regulations and Firm polici…
Global investment bank seeks a senior level Compliance Officer for their Investment Banking Division.
This candidate will provide primary compliance coverage for the firm’s M&A and FIG divisions in IBD and work in close coordination with other Private Side Compliance officers to provide product advisory compliance coverage for the firm’s Corporate Finance division.
Primary compliance coverage and real time support and advice to M&A and FIG business areas within the Investment Bank.
Provide in-depth knowledge an…
A Global Bank seeks a Bank Testing Compliance Manager who will lead a team of Compliance Officers charged with the reviews of all U.S. banking activities.
This management position provides exposure to a wide variety of business areas and an opportunity to lead a group of professionals to perform their annual review plan, which is a suite of 25 cycled reviews including many horizontal regulation based reviews across business lines.
Responsibilities will include:
• Lead the planning and review of businesses and support areas across bank an…
A global investment bank seeks a Director of Research Compliance who will be responsible for evaluating and implementing the compliance program (i.e., policies, procedures, training, systems and controls, reviews, etc.)
A global investment bank seeks a Director of Research Compliance who will be responsible for evaluating and implementing the compliance program (i.e., policies, procedures, training, systems and controls, reviews, etc.) for the firm’s Equity and Fixed Income Research Departments, which includes formulating and implementing…
Applicant should be a seasoned compliance professional with at least 10 years of compliance experience within an asset management organization. Individual should have at least 5 years providing direct supervision. The applicant should be able provide oversight in the following areas and also strategic direction.
Primary Oversight Responsibilities:
Code of Ethics and Personal Trading Compliance program
Preclearance, Post Trade Monitoring and Employee Certifications
Outside Business Activity reviews
Other Employee Conduct & Regulatory pol…
The Internal Audit Manager demonstrates extensive knowledge and/or a proven record of success in a role managing efforts related to, current hot topics for Chief Audit Executives, Internal Audit directors, Chief Compliance officers, Audit Committees and Risk Management personnel.
Boards of Directors and executive management recognize the ever increasing importance of effective risk management efforts in meeting their organization's strategic objectives. Globalization, evolving business models, upgraded IT systems, the changing regulatory …
This leading Investment Bank in New York City are looking to build a new Program / Projects Group, tasked with managing the key regulatory initiatives across the capital markets business. They require change and transformation specialists with direct exposure to the front office trading business.
This group will follow the blueprint of a conceptually similar team already flourishing within the bank which is being populated by individuals that have had prior regulatory exposure, are ex-management consultants from reputable companies and ar…
Our client is a leading global Asset Manager and Mutual Fund Manager who are looking to recruit a Senior Mutual Fund Compliance Analyst, to join their midtown Manhattan office.
A leading global Asset Manager and Mutual Fund Manager
This Senior Mutual Fund Compliance Analyst will be principally responsible for performing compliance due diligence and oversight of third-party sub-advisers engaged to manage the assets of registered funds, and reporting the relevant results to key constituencies including the funds'…
Supporting the AML and Sanctions team within a global investment bank
Produce and maintain a data map between the AML/Sanctions monitoring tool, and associated downstream and upstream systems.
Conduct analysis between US and global AML and sanctions systems used by the group to promote consistency.
Focus on the development and technical analysis of the related monitoring systems. Interact with the technology group to ensure that systems perform as expected.
Establish a reconciliation mechanism between Prime and source sy…
As an expansion growth hire, this financial institution is seeking a leader in risk management, compliance/regulatory knowledge and modeling.
As an expansion growth hire, this financial institution is seeking a leader in risk management, compliance/regulatory knowledge and modeling. We are looking for a candidate with interpersonal skills, strong leadership abilities and sound industry knowledge.
Location: Washington D.C.
Represent the Risk & Regulatory team with subject matter expertise and leadership, as it …
Up to $270,000 USD base (DOE) + COMPETITIVE bonus and FULL relocation
Asset Management Risk Manager (Job Number: 1413702)
BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. Whether providing financial services for institutions, corporations or individual investors, BNY Mellon delivers informed investment management and investment services in 35 countries and more than 100 markets. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, servi…
My Client, a top tier global investment bank, is looking for a AVP/VP Information Security Officer to join their midtown based broker-dealer business.
This is a leadership role that requires an individual with a strong technical background, as well as an ability to work with the IT organization and business management to align priorities and plans with key business objectives. The ideal candidate will also have the skill set and experience to effectively develop, implement and manage the governance of a business continuity disaster relief…
The Role: The Sr. Analyst S&P Dow Jones Indices (“SPDJI”) is responsible for assisting the Chief Compliance Officer of SPDJI in implementing and monitoring the regulatory and corporate compliance program for SPDJI. Of key importance is the ability and knowledge to utilize a best practice approach to various initiatives, including the implementation of controls in a principles based compliance environment. In addition to implementing and monitoring compliance with policies and procedures, the candidate will be required …
The AML Compliance Manager for Funds will provide AML and sanctions-related support and advisory services to Firm's public and private funds. The role will be the designated AML Officer for the Funds and will be listed in the Funds' disclosure documents.
Key responsibilities will include:
Provide AML and Sanctions-related advisory services to Firm's public and private funds
Attend fund board meetings
Conduct AML-related due diligence on the transfer agent and distributor of the funds
Update fund policies and procedures for AML and Sanctio…
Role is responsible for maintaining, enforcing and enhancing the procedures, controls, processes that apply to the proper handling of customer complaints, the periodic reporting of key performance and risk indicators associated therewith and the reporting of customer complaints to FINRA as required by Rule 4530.
The Manager of the Customer Complaints team should be an experienced and knowledgeable professional who has an established history of leading other professionals and managing the execution of the daily workflow, projects, and init…
Our client a global investment banks seeks a VP to add to it's newly created compliance strategic advisory function.
To provide critical support as a key member of the Compliance Strategic Advisory (CSA) team that is tasked to:
Through engagement with internal and external experts, explore and implement innovative solutions for Compliance
Foster innovation across Compliance
Focus on enhancing the impact of the Compliance function and creating a differentiated-from-peer “go-to” function
Challenge the Compliance operating mode…
A unique and exciting opportunity to join a well established but growing global private equity firm based in Midtown Manhattan. The role will report directly into the global CCO and provide Compliance oversight for multiple business lines. A JD is a plus but not mandatory.
The Compliance Officer has responsibility for addressing US day to day compliance matters such as employee trading and conflicts and long term projects, such as analysis of new regulations and procedure drafting. The right candidate will also be involved in global comp…
Our client is a top tier investment management firm seeking to add to it's growing Compliance division.
The Compliance Analyst is part of a small team performing the compliance review and approval of marketing material for content and disclosure prior to distribution. Marketing material is primarily print format. They are also responsible for providing timely compliance advice and guidance to marketing and the business and developing internal policy and procedures when needed.
Prospect presentations, Product profiles, Commentari…
Our client a global investment bank seeks to add a Director level hire to lead their Regulatory Relations & Examinations division.
Assist in leading examinations across all US Regulators
Advisory role with Control Functions and the business
Serve as a primary liaison for Regulators with regards to a specific function(s) or practice
Regular and frequent interaction with senior management and Regulators on global issues
Represent the Regulatory Relations function in all meetings with Regulators
Train/educate and potentially manage colleague…
Global and prestigious financial firm in midtown NYC is looking for VP Regulatory Compliance officer.
Regulatory compliance experience and knowledge of consumer federal/state regulations
A Bachelor’s Degree in business administration, finance, accounting or economics
Required to be fully knowledgeable and skilled in deposit, operations, and lending compliance
Must maintain competent level of expertise and knowledge of various laws and regulations
Must provide regulatory advice in a way that business managers can understand risk and solut…
It’s what drives us. More than a claim, this describes the way we do business. We’re committed to being the best financial services provider in the world, balancing passion with precision to deliver superior solutions for our clients. This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landscape. As you’ll discover, our culture supports this. Diverse, international and shaped by a variety of different perspectives, we’re driven by a …
Jacksonville, FL, USA
Permanent, Full time
Deutsche Bank - US
Posted on: 30 Oct 14