319 Compliance Legal jobs

Compliance Legal professionals in the financial markets sector play a crucial role in ensuring that financial institutions adhere to complex regulatory requirements, industry standards, and internal policies. They work at the intersection of law and finance, interpreting regulations, advising on compliance matters, and helping to implement robust compliance frameworks to mitigate legal and regulatory risks.

Key responsibilities and aspects of Compliance Legal roles in financial markets include:

  1. Regulatory Interpretation and Advice:
    • Analyzing and interpreting financial regulations (e.g., Dodd-Frank, MiFID II, Basel III)
    • Providing legal advice on compliance matters to various business units
    • Assessing the impact of new regulations on business operations
    • Developing compliance strategies to address regulatory requirements
  2. Policy and Procedure Development:
    • Drafting and updating compliance policies and procedures
    • Ensuring internal policies align with regulatory requirements
    • Collaborating with business units to implement practical compliance measures
    • Developing compliance manuals and guidelines for staff
  3. Risk Assessment and Management:
    • Conducting legal risk assessments related to compliance issues
    • Identifying potential areas of non-compliance and developing mitigation strategies
    • Advising on risk management practices from a legal perspective
    • Participating in enterprise risk management initiatives
  4. Compliance Monitoring and Testing:
    • Designing and implementing compliance monitoring programs
    • Conducting legal reviews of compliance testing results
    • Advising on remediation efforts for identified compliance issues
    • Overseeing internal investigations related to compliance breaches
  5. Regulatory Examinations and Audits:
    • Managing regulatory examinations from a legal standpoint
    • Preparing responses to regulatory inquiries and findings
    • Advising on legal aspects of audit processes
    • Negotiating with regulators on compliance-related matters
  6. Training and Education:
    • Developing and delivering compliance training programs
    • Educating staff on legal and regulatory requirements
    • Creating awareness of compliance risks and responsibilities
    • Keeping management informed about significant regulatory developments
  7. Contractual Review and Negotiation:
    • Reviewing and drafting compliance-related clauses in contracts
    • Negotiating terms with third parties to ensure regulatory compliance
    • Advising on legal implications of new products or services
    • Ensuring adherence to regulatory requirements in business agreements
  8. Regulatory Reporting:
    • Overseeing the legal aspects of regulatory reporting obligations
    • Ensuring accuracy and completeness of regulatory filings
    • Advising on disclosure requirements and materiality assessments
    • Managing relationships with regulatory bodies from a legal perspective
  9. Anti-Money Laundering (AML) and Financial Crime:
    • Advising on legal aspects of AML and counter-terrorist financing regulations
    • Developing legally sound KYC (Know Your Customer) procedures
    • Providing legal support for suspicious activity reporting
    • Advising on sanctions compliance and trade restrictions
  10. Corporate Governance:
    • Advising on governance structures from a compliance perspective
    • Ensuring board and committee charters align with regulatory requirements
    • Providing legal input on corporate governance best practices
    • Advising on conflicts of interest and ethical considerations
  11. Technology and Data Privacy:
    • Advising on legal aspects of compliance technology implementations
    • Ensuring data privacy compliance (e.g., GDPR, CCPA)
    • Providing legal guidance on cybersecurity regulations
    • Advising on the use of AI and machine learning in compliance processes
  12. Cross-Border Compliance:
    • Navigating complex multi-jurisdictional regulatory landscapes
    • Advising on cross-border transactions and their compliance implications
    • Ensuring consistency in global compliance approaches while respecting local laws
    • Coordinating with international legal counsel on compliance matters

Successful Compliance Legal professionals typically have law degrees and may be qualified to practice law in their jurisdiction. Many also have additional qualifications in finance or compliance-specific certifications.

Key skills for success in Compliance Legal roles include:

  • Strong analytical and problem-solving abilities
  • Excellent written and verbal communication skills
  • In-depth knowledge of financial regulations and legal frameworks
  • Ability to interpret complex legal documents and translate them into practical guidance
  • Strong attention to detail and organizational skills
  • Ability to work under pressure and meet deadlines
  • Diplomacy and negotiation skills for dealing with regulators and internal stakeholders
  • Understanding of financial products and markets

Compliance Legal professionals must stay current with rapidly evolving regulatory landscapes, emerging financial technologies, and changing market practices. They play a vital role in protecting financial institutions from legal and regulatory risks while enabling them to operate effectively in a complex regulatory environment.

Full time
 
Legal & Compliance - Legal, Sydney
Blackstone Sydney NSW, Australia
Blackstone is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com . Follow @blackstone on  LinkedIn ,  Twitter , and  Instagram .   Job Description & Responsibilities Blackstone is seeking a 6+ years PQE transactions/corporate lawyer to provide support to its businesses based in Sydney.  The work will be transactional in nature, covering the private equity, real estate and tactical...

Jun 10, 2025
Full time
 
Compliance Assistant - Onboarding Private - 6 months contract
Swissquote 1196 Gland, Switzerland
As a Compliance Assistant, you will be part of the Compliance Department, you will have multiple tasks, which include: Review of client’s account opening requests of private clients from an AML/CTF standpoint (AMLA, AMLO-FINMA, CDB). Review of tax compliance aspects, such as FATCA and CRS (automatic exchange of information) Contribution in drafting internal memos and procedures Participation in reviews of key clients Participation in key regulatory projects Optimization of internal processes and guidelines Support and advice to the Front line and management Qualifications Bachelor or Master Degree, preferably in Laws or in Economics Minimum 2 years of experience in the Compliance field, Excellent command of English and French (German is a strong asset) Analytical and methodological approach Very good communication skills Strong team player who enjoys working in multicultural, dynamic, technological and international environment Additional Information SQ1

Jun 18, 2025
Full time
 
Compliance Officer - Investigations
Swissquote 1196 Gland, Switzerland
As a Compliance Officer, you will be part of the Compliance Department and work within the Reviews & Investigations Team. The team is growing and we are looking for different types of seniority profiles whose main tasks will be: Manage complex investigations and conduct legal clarifications, Write and submit SARs to Financial Intelligence Unit (MROS), Communication with MROS as well as other Swiss law enforcement authorities. Depending on the seniority, the following tasks will also be required: Support the team on a daily basis, Optimization of internal processes, review and drafting of internal guidelines, Support and advice to the Front line and Management. Qualifications Graduated in Laws or in Economics (a Certificate in Compliance Management is a very strong asset) Several years in a Compliance Department in the financial industry (investigations and MROS reports is a very strong asset) Knowledge of Swiss law Excellent command of English and French...

Jun 18, 2025
Full time
 
Compliance Officer - Review Team
Swissquote 1196 Gland, Switzerland
As a Senior Compliance Officer, you will be part of the Compliance Department and work within the Reviews & QC Team. The team is growing, and we are looking for different types of seniority profiles whose main tasks will be: Carrying out reviews of key clients (private clients, companies, institutional clients, external asset managers, introducing brokers, etc.) from an AML/CTF standpoint (AMLA, AMLO-FINMA, CDB); Conducting enhanced due diligence analyses and declassifications; Drafting formal compliance assessments, including the ability to manage multiple complex cases simultaneously; Providing support and advice to the front office and management. Depending on the level of seniority, the following tasks may also be required: Assisting the Manager in supporting the team daily, including providing responses to questions, conducting second-level reviews of team members’ assessments, and serving as a trusted role model in terms of work quality, efficiency, and...

Jun 17, 2025
Full time
 
Deputy Compliance Officer - Investigations (6 months)
Swissquote 1196 Gland, Switzerland
As a Deputy Compliance Officer, you will be part of the Compliance Department for 6 months and will work in the Reviews and Investigations team. You will have multiple tasks, which include: Contribution to the analysis and drafting of MROS reports. Support in investigations, enhanced due diligence analysis. Support and advice to the Front line Support to the team within the review of key clients’ files Review of client’s account documentation (private clients, companies, external asset managers, introducing brokers, etc.) from an AML/CTF standpoint (AMLA, AMLO-FINMA, CDB) Qualifications Bachelor/ Master degree, preferably in Laws or in Economics 3-5 years of experience in Compliance or similar position Excellent command of English and French (German and/or Italian would be a strong asset) Analytical and methodological approach Very good communication skills Strong team player who enjoys working in multicultural, dynamic, technological and international environment

Jun 15, 2025
Full time
 
Deputy Compliance Officer - Temporary
Swissquote 1196 Gland, Switzerland
As a Deputy Compliance Officer, you will be part of the Compliance Department and will work in the Reviews and Investigations team. You will have multiple tasks, which include: Contribution to the analysis and drafting of MROS reports. Support in investigations, enhanced due diligence analysis. Support and advice to the Front line Support to the team within the review of key clients’ files Review of client’s account documentation (private clients, companies, external asset managers, introducing brokers, etc.) from an AML/CTF standpoint (AMLA, AMLO-FINMA, CDB) Qualifications Bachelor degree, preferably in Laws or in Economics 2-5 years of experience in Compliance or similar position Excellent command of English and French (German and/or Italian would be a strong asset) Analytical and methodological approach Very good communication skills Strong team player who enjoys working in multicultural, dynamic, technological and international environment Additional...

Jun 15, 2025
Full time
 
Compliance Operating Head - Vice-Director
Swissquote 1196 Gland, Switzerland
The Compliance Operating Head is responsible for overseeing the day-to-day (Business-as-Usual, BAU) activities of the Compliance Department. This role supports the Group Head of Compliance by ensuring that routine compliance operations and processes are executed efficiently, consistently, and in alignment with regulatory expectations. The ideal candidate will be highly autonomous, solution-oriented, and possess strong, hands-on experience in compliance operations, with the ability to analyze complex cases and exercise sound judgment in decision-making. Key Responsibilities: BAU Oversight: Oversee compliance operations, including onboarding and monitoring.   Process Management: Ensure smooth execution and continuous improvement of compliance workflows and controls.   Tracking: Track the completion and quality of compliance deliverables, Escalate issues as needed.   Documentation & Reporting: Organize accurate records of compliance activities,...

Jun 14, 2025
Full time
 
Legal Operations Officer
Swissquote 1196 Gland, Switzerland
We are looking for a  Legal Operations Officer  to join our Legal Department at Swissquote Bank Ltd at its headquarters in Gland, Switzerland. This role is a multi-disciplinary function that helps the Legal Department in optimizing the delivery of its services. Your tasks will be diverse and include for example the following: Handling requests from the various judiciary authorities, such as state attorneys or FINMA (including clarifications within the bank and the correspondence with the authorities) Management of data bases used by the Legal Department, participation in knowledge management projects Supporting the Legal Officers in the management of larger various cases if necessary Handling customer information requests (data protection) Handling written correspondence with third parties Various other tasks, for ex. coordination of legal translations Qualifications You are looking for a position with an occupancy rate of 100% You have obtained an university degree...

Jun 13, 2025
Full time
 
Legal Assistant
Swissquote 1196 Gland, Switzerland
We are looking for a Legal Operations Assistant to join our Legal Department at Swissquote Bank Ltd at its headquarters in Gland, Switzerland. This role is a multi-disciplinary function with a focus on operational and administrative tasks, which include for example the following:   Main task: Handling requests from the various Swiss authorities, such as state attorneys or debt enforcement offices (including making the required clarifications, data extractions and correspondence) Handling written correspondence with third parties Various other administrative tasks, for ex. coordination of legal translations Qualifications You are looking for a position with an occupancy rate of 100% You have completed a basic economic education (“CFC” or title deemed equivalent) or have obtained a university degree You are fluent in French (mother tongue) and have very good knowledge of German (minimum B2, written and spoken) and good knowledge of English (B1) You have excellent...

Jun 13, 2025
Full time
 
Legal Assistant
Swissquote 1196 Gland, Switzerland
  You are looking for a position with an occupancy rate of 100% You have completed a basic economic education (“CFC” or title deemed equivalent) or have obtained a university degree You are fluent in French (mother tongue) and have very good knowledge of German (minimum B2, written and spoken) and good knowledge of English (B1) You have excellent analytical skills, you pay attention to details and are keen to understand the context of the tasks you are treating You have an excellent sense of organization, autonomy, rigor and reliability You have a team spirit, dynamism and motivation You have excellent communication skills You are used to working with Microsoft Office tools (Outlook, Word and Excel)

Jun 13, 2025
Full time
 
Legal Operations Assistant - (6 months)
Swissquote 1196 Gland, Switzerland
We are looking for a Legal Operations Assistant to join our Legal Department at Swissquote Bank Ltd at its headquarters in Gland, Switzerland. This role is a multi-disciplinary function with a focus on operational and administrative tasks, which include for example the following: Main task: Handling requests from the various Swiss authorities, such as state attorneys or debt enforcement offices (including making the required clarifications, data extractions and correspondence) Handling written correspondence with third parties Various other administrative tasks, for ex. coordination of legal translations Qualifications You are looking for a position with an occupancy rate of 100% You have completed a basic economic education (“CFC” or title deemed equivalent) or have obtained a university degree You are fluent in French (mother tongue) and have very good knowledge of German (minimum B2, written and spoken) and good knowledge of English (B1) You have excellent...

Jun 13, 2025
Full time
 
Compliance Officer - Review Team
Swissquote 1196 Gland, Switzerland
As a Senior Compliance Officer, you will be part of the Compliance Department and work within the Reviews & QC Team. The team is growing, and we are looking for different types of seniority profiles whose main tasks will be: Carrying out reviews of key clients (private clients, companies, institutional clients, external asset managers, introducing brokers, etc.) from an AML/CTF standpoint (AMLA, AMLO-FINMA, CDB); Conducting enhanced due diligence analyses and declassifications; Drafting formal compliance assessments, including the ability to manage multiple complex cases simultaneously; Providing support and advice to the front office and management. Depending on the level of seniority, the following tasks may also be required: Assisting the Manager in supporting the team daily, including providing responses to questions, conducting second-level reviews of team members’ assessments, and serving as a trusted role model in terms of work quality, efficiency, and...

Jun 13, 2025
Full time
 
Deputy Compliance Officer- Review Team (CDD - 6 months)
Swissquote 1196 Gland, Switzerland
As a Compliance Officer, you will be part of the Compliance Department and work within the Reviews & QC Team. The team is growing, and we are looking for different types of seniority profiles whose main tasks will be: Carrying out reviews of key clients (private clients, companies, institutional clients,  external asset managers, introducing brokers, etc.) from an AML/CTF standpoint (AMLA, AMLO-FINMA, CDB) Conducting enhanced due diligence analyses Drafting formal compliance assessments Providing support and advice to the front office and management Depending on the level of seniority, the following tasks may also be required: Assisting the Manager in supporting the team on a daily basis, including providing responses to questions, conducting second-level reviews of team members’ assessments and serving as a trusted role model in terms of work quality, efficiency and professional behavior Serving as the key point of contact for complex cases Optimization of internal...

Jun 13, 2025
Full time
 
Compliance Officer - Onboarding Corporate
Swissquote 1196 Gland, Switzerland
Are you eager to take up a new challenge? Join the Compliance Department as a Compliance Officer in the Onboarding Corporate Team. You will have multiple tasks which include: Analysis of account opening requests from corporate clients (such as active/passive entities, trusts, collective investments schemes, financial institutions, external asset managers, etc.) from an AML/CTF (AMLA, AMLO-FINMA, CDB 20) and sanction standpoint. This includes the review of tax compliance aspects, such as FATCA and CRS Drafting of internal memorandums, especially regarding HRR corporate clients Optimization of internal processes and guidelines, contribution to the drafting of procedures Participation in key regulatory projects Support and advice to the Front line and management Qualifications Bachelor or Master Degree preferably in Laws/Economics or proven relevant experience in the banking sector Minimum 3 to 5 years of experience in  a similar position within a financial institution,...

Jun 12, 2025
Full time
 
Compliance Officer (Inheritance + Guardianship) - Monitoring
Swissquote 1196 Gland, Switzerland
As a Compliance Officer, you will be part of the Legal & Compliance Department and work in the monitoring team of the Compliance Service. You will have multiple tasks, which include: Handling inheritance and guardianship cases, under Swiss and international law Being part of the development, implementation and update of several internal processes and guidelines Optimization of internal processes, review and drafting of internal guidelines Participation in key regulatory projects Support and advice to the Front line and Management Qualifications Master degree in Swiss Law  At least 3 years of relevant experience (e.g. as a jurist/lawyer in the banking industry, in a consultancy/law firm or a notary office with focus on inheritance law) Excellent knowledge of French and German; working knowledge of English is a strong asset; Flexible and able to handle a variety of tasks Very good communication and writing skills Autonomous and dynamic Strong team player who...

Jun 12, 2025
Full time
 
Compliance Officer - Monitoring
Swissquote 1196 Gland, Switzerland
As a Compliance Officer, you will be part of the Legal & Compliance Department and work in the Monitoring Team of the Compliance Service. You will have multiple tasks, which include: Analysis and validation from a compliance and AML perspective of cash and security transfers Perform due diligence analysis and further clarifications from an AML perspective Review of higher risk transactions Participation in key regulatory projects Analysis and validation from an international sanction perspective of cash and security transfers Qualifications Graduated in Laws or in Economics is a strong asset 3-5 years of experience in the Compliance Monitoring thorough knowledge of the AML/CDB regulatory requirements Interest in the Financial industry Knowledge of crypto is an asset Excellent command of English and French (German is a strong asset) Proficiency in Microsoft Office is a strong asset Analytical and methodological approach Flexible and able to handle a variety...

Jun 10, 2025
Full time
 
Compliance Manager - Onboarding Private
Swissquote 1196 Gland, Switzerland
As a Compliance Manager, you will be part of the Compliance Department and will be in charge of a Compliance team mainly responsible for the onboarding of private clients. You will have multiple tasks, which include: Ensuring the team’s mission is achieved and the service levels are respected Ensuring the application of the Bank’s internal regulations in the field of AML, tax compliance and cross-border Providing support to the front line and ensuring the resolution of compliance issues Managing key regulatory projects in the field of AML Updating policies and procedures following regulatory and systems changes Training and coaching the team and the front line. Qualifications  Minimum 5 years of experience in a compliance or similar position and minimum 2 years of experience as team leader Law degree and/or CAS in Compliance in Financial Services (formerly CAS in Compliance Management) are strong assets Excellent knowledge in Swiss banking and financial laws,...

Jun 10, 2025
Full time
 
Client Onboarding Analyst (KYC) - FX/CFDs
ThinkMarkets Dubai, Dubai, United Arab Emirates
ThinkMarkets is a global financial technology company specializing in providing multi-asset trading solutions to thousands of clients worldwide through our flagship ThinkTrader platform. Our mission is to bridge the gap between traders, investors, and platforms by offering seamless access to global markets. We leverage the latest technologies to empower our clients to trade the world in the palm of their hands.   We are seeking a highly skilled Client Onboarding Analyst to join our rapidly growing team in Dubai. This is a full-time in office position. This role is pivotal in ensuring a seamless and compliant onboarding experience for our clients. You will play a critical role in verifying and processing applications, adhering to KYC and AML regulations, and supporting various internal teams with due diligence and transaction monitoring.   Key Responsibilities:   Review, process, verify, and manage the client onboarding journey.   Conduct electronic checks,...

Jun 09, 2025
Full time
 
Legal Officer – Maternity Cover (10-12 months)
Swissquote 1196 Gland, Switzerland
We have an exciting opportunity in our Legal Department. We offer the opportunity to become part of a young performing team, in a stimulating working environment combining a friendly, casual atmosphere with cutting-edge technologies and a great diversity of tasks. As a Legal Officer, you will be part of the Legal Department. Among others, your tasks will typically be the following: Advise internal stakeholders on the legal aspects of the Bank’s projects, including innovative banking services and implementation of novel technologies, providing insights and risk assessments; Review, negotiate and draft contracts and/or any other documentation of the Bank with a focus on securities trading, crypto-assets, foreign exchange pairs (FX) and contracts for difference (CFD); Take care of litigation matters and complaints; Prepare legal research on banking & financial law and monitor regulatory changes; Draw up, implement and review internal policies and procedures....

May 22, 2025
Full time
 
Head of Institutional Compliance
IG Group Cannon Street, London
Job Title Head of Institutional Compliance Job Description So, who are we? Hello, we're IG Group. We are an FTSE250 FinTech company who run mobile, web and desktop platforms that help our clients trade stocks & shares, leveraged products, Futures & Options and Crypto. We are ambitious. Over 340,000 people already use our platforms. We're global with offices in 18 countries and products in 16 regions. We're hungry to move faster, ship better products for our customers and grow our user base. We believe in high autonomy, and we want people who are looking to do things differently in order to create better experiences for our customers. We work in cross-functional teams and are laser-focused on increasing the number of active clients we serve to drive sustainable growth. Your role in the Team's Success The Head of Compliance for IG's i nstitutional b usiness is responsible for designing, implementing, and overseeing the comprehensive...

Jun 19, 2025