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  • jobs
  • Compliance/Legal

Browse Compliance/Legal Jobs

Apply now for Compliance/Legal Jobs. 1,309 positions are currently open at eFinancialCareers.

Job title

  • Analyst (151)
  • Compliance Officer (88)
  • Associate (83)
  • Compliance Manager (69)
  • Consultant (45)
  • Internal Audit (39)
  • Legal Counsel (38)
  • Vice President (37)
  • Senior Manager (26)
  • Compliance Analyst (23)
See all Job Titles

Company

  • Moody's (86)
  • Credit Suisse - (48)
  • HSBC (48)
  • Goldman Sachs USA (38)
  • Macquarie Group (33)
  • SOCIETE GENERALE HK (29)
  • Citi (26)
  • Bank Of China (Hong Kong) Limited (22)
  • Randstad Hong Kong (20)
  • The Forum Group (18)
See all Companies

Sub-sectors

  • Compliance Regulatory (882)
  • In-house Legal (225)

Location

  • Japan (12)
  • Tokyo (12)
  1. In-house Legal

    • JPY10000000 - JPY12000000 per annum + equity
    • Tokyo, Tokyo-to, Japan
    • Permanent, Full time
    • Huxley APAC
    • Posted on:  22 Feb 19
  2. HR Business Partner - Tokyo, Japan

    • Competitive
    • Tokyo, Tokyo-to, Japan
    • Permanent, Full time
    • Moody's
    • Updated on:  22 Feb 19
  3. Compliance/Operational Risk, Associate Director

    • Negotiable
    • Tokyo, Tokyo-to, Japan
    • Permanent, Full time
    • Hays Banking & Financial Services Japan
    • Updated on:  21 Feb 19
  4. Business Analyst - Regulations

    • Competitive
    • Tokyo, Tokyo-to, Japan
    • Permanent, Full time
    • Morgan McKinley - Tokyo
    • Updated on:  22 Feb 19
  5. IBD Advisory Compliance

    • Competitive
    • Tokyo, Tokyo-to, Japan
    • Permanent, Full time
    • Morgan McKinley - Tokyo
    • Updated on:  22 Feb 19
  6. Compliance Monitoring & Assurance

    • Competitive
    • Tokyo, Tokyo-to, Japan
    • Permanent, Full time
    • Morgan McKinley - Tokyo
    • Updated on:  22 Feb 19
  7. Legal Counsel - Investment Banking

    • Competitive
    • Tokyo, Tokyo-to, Japan
    • Permanent, Full time
    • Morgan McKinley - Tokyo
    • Updated on:  22 Feb 19
  8. KYC / AML Compliance

    • Competitive
    • Tokyo, Tokyo-to, Japan
    • Permanent, Full time
    • Morgan McKinley - Tokyo
    • Updated on:  22 Feb 19
  9. Senior Compliance Manager

    • Competitive
    • Tokyo, Tokyo-to, Japan
    • Permanent, Full time
    • Morgan McKinley - Tokyo
    • Updated on:  22 Feb 19
  10. Transaction Structuring Legal

    • Competitive
    • Tokyo, Tokyo-to, Japan
    • Permanent, Full time
    • Morgan McKinley - Tokyo
    • Updated on:  22 Feb 19
  11. M&A Corporate Partner

    • Competitive full package + bonus
    • Tokyo, Tokyo-to, Japan
    • Permanent, Full time
    • Specialized Group
    • Posted on:  23 Oct 18
  12. KYC Due Diligence Associate

    • Competitive and good employee benefits
    • Tokyo, Tokyo-to, Japan
    • Permanent, Full time
    • Specialized Group
    • Updated on:  22 Oct 18
  13. Regulatory Change Manager

    • Competitive
    • London, England, United Kingdom
    • Permanent, Full time
    • Eames Consulting UK
    • Posted on:  22 Feb 19
  14. IT Risk Analyst

    • Competitive
    • Gurgaon, Haryana, India
    • Permanent, Full time
    • Moody's
    • Updated on:  22 Feb 19
  15. Corporate Counsel - Spanish Speaking

    • Competitive
    • New York, NY, USA
    • Permanent, Full time
    • Moody's
    • Updated on:  22 Feb 19
  16. Compliance Officer- Quality Assurance

    • GBP45 - GBP55 per annum
    • London, England, United Kingdom
    • Permanent, Full time
    • Selby Jennings UK
    • Posted on:  22 Feb 19
  17. Senior Legal and Compliance Officer Funds

    • Competitive
    • Zurich, Switzerland
    • Permanent, Full time
    • Swisslinx
    • Updated on:  22 Feb 19
  18. Global Markets Compliance - Structured Credit Associate

    • Base salary, bonus and excellent benefits.
    • New York, NY, USA
    • Permanent, Full time
    • The Forum Group
    • Updated on:  22 Feb 19
  19. VP Enhanced Due Diligence Manager

    • Base salary, bonus and excellent benefits.
    • New York, NY, USA
    • Permanent, Full time
    • The Forum Group
    • Updated on:  22 Feb 19
  20. VP/Director Compliance Risk Assessment

    • Base plus bonus
    • New York, NY, USA
    • Permanent, Full time
    • The Forum Group
    • Updated on:  22 Feb 19
  21. VP Swap Dealer Compliance Advisory

    • Base salary, bonus and excellent benefits.
    • New York, NY, USA
    • Permanent, Full time
    • The Forum Group
    • Updated on:  22 Feb 19
  22. Director, Volcker Compliance Global Markets

    • Base salary, bonus and excellent benefits
    • New York, NY, USA
    • Permanent, Full time
    • The Forum Group
    • Updated on:  22 Feb 19
  23. AVP / VP Dodd Frank Equity Derivatives

    • Base salary, bonus and excellent benefits
    • New York, NY, USA
    • Permanent, Full time
    • The Forum Group
    • Updated on:  22 Feb 19
  24. Director, Risk Assessments & Testing

    • Base salary, bonus and benefits.
    • Jersey City, NJ, USA
    • Permanent, Full time
    • The Forum Group
    • Updated on:  22 Feb 19
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Compliance/Legal: currently 1309 jobs.The latest job was posted on 22 Feb 19.

Compliance / Legal

This sector contains all our legal & compliance jobs for finance professionals. Compliance roles are there to ensure banks, asset managers, hedge funds, insurance companies, and other forms of financial services firms are working in line with the regulations imposed by the country they're operating in. Compliance professionals liaise with front office employees on the business side of the organisation to make sure these regulatory requirements are met and to educate salespeople, traders, M&A bankers, and other financial services employees on the expectations of national and supranational regulatory bodies.

These regulatory jobs in financial services and investment banks can be divided into various categories, including:

Sales and trading compliance - working with a bank's salespeople and traders to ensure their activities comply with the requirements of the local regulator. Sales and trading compliance pros are often product specialists - for example, they might specialise in bonds, equities or derivatives.

Control room compliance - centralised tasks such as maintaining the bank's restricted list (which restricts confidential information to key individuals), ensuring Chinese Walls are upheld and checking for abnormal or alarming dealing activity. Should certain staff be placed on 'stop and watch' lists, it's the control room compliance team who ensure they're stopped - and watched.

Monitoring and surveillance - scrutinising specific behaviour and trading transactions that might indicate fraudulent activity, such as insider dealing or manipulation of markets across the exchanges.

Anti-money laundering (AML) - stopping money laundering (where the financial proceeds of illegal activities are given the appearance of being legitimate).

Asset managers and hedge funds also recruit compliance staff, as do retail banks and insurance companies. In the wake of the global financial crisis, regulation of financial services firms has increased and compliance has become increasingly important. As well as containing jobs for compliance officers, compliance managers and senior compliance professionals from compliance recruitment agencies in the areas referred to above, this section also includes jobs at financial services regulatory bodies such as the FSA (in the UK) and the SEC (in the US). Regulatory jobs frequently revolve around the enforcement of such regulations.

Alongside compliance staff, banks and financial services firms employ an army of lawyers or attorneys and paralegals to ensure the documentation and contracts associated with their business fall within the law. This section also includes these legal jobs within financial services.

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