Legal jobs in Financial Services

The Sanctions Consultant will play a vital role in supporting the Legal department within the financial services industry. This position focuses on sanctions compliance and ensuring adherence to relevant regulations, providing critical expertise to safeguard the business.

This role supports a broad range of compliance functions, including compliance testing and monitoring, trade surveillance investigations, Code of Ethics and personal trading oversight, AML/KYC reviews, and SEC/RIA regulatory compliance. The position also involves preparing regulatory filings and documentation while partnering with business stakeholders to ensure adherence to regulatory requirements and internal policies.

This role supports a broad range of compliance functions, including compliance testing and monitoring, trade surveillance investigations, Code of Ethics and personal trading oversight, AML/KYC reviews, and SEC/RIA regulatory compliance. The position also involves preparing regulatory filings and documentation while partnering with business stakeholders to ensure adherence to regulatory requirements and internal policies.

The Head of US Sanctions will lead and oversee sanctions-related compliance within the financial services industry, ensuring adherence to regulatory requirements and mitigating risk in the New York office.

The Team Leader - Sanctions will oversee sanctions compliance within the risk and compliance department, ensuring adherence to regulatory requirements and mitigating potential risks. This role is based in New York and focuses on leading a team to effectively manage sanctions-related processes.

The Compliance Officer will play a critical role in ensuring adherence to regulatory standards and internal policies within the financial services industry. This position will be based in New York and focuses on managing compliance risks and promoting a culture of integrity.

The BSA EDD role in the Financial Services industry focuses on enhancing due diligence processes within the Risk & Compliance department to ensure regulatory compliance and mitigate risks effectively. Based in New York, this position requires a strategic and detail-oriented professional to support and strengthen the company's compliance framework.

The Compliance Audit Consultant will focus on ensuring adherence to regulatory requirements and internal policies within the financial services industry. This role will support the legal department in conducting audits and assessments to maintain compliance standards in New York.

The Deputy Chief Compliance Officer will play a key role in overseeing compliance functions within the financial services sector. Reporting to the Chief Compliance Officer, this role focuses on ensuring adherence to regulatory requirements and supporting the organization's risk management framework.

The Compliance Analyst (AVP Level) will play a key role in ensuring adherence to regulatory requirements within the financial services industry. Based in New York, this role supports the Risk & Compliance department by monitoring compliance programs and identifying areas for improvement.

The BSA SAR/Transaction Monitoring Analyst role focuses on managing and ensuring compliance with Bank Secrecy Act (BSA) and Suspicious Activity Reporting (SAR) requirements within the financial services industry. Based in New York, this position is critical to supporting risk and compliance efforts within the organization.

This role is focused primarily on the structuring and execution of RMBS and esoteric ABS transactions across a variety of asset classes.

The successful candidate will play a central role in transaction execution, cash flow modelling, structural analysis, and coordination with investors, rating agencies, legal counsel, and internal stakeholders through all phases of the securitisation process.