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Dieser Sektor umfasst alle unsere Stellenangebote in den Bereichen Recht & Compliance für den Finanzdienstleistungssektor. Compliance soll gewährleisten, dass Banken, Asset Manager, Hedgefonds, Versicherungsunternehmen und andere Finanzdienstleister bei ihren Aktivitäten die gesetzlichen Vorschriften einhalten. Compliance-Mitarbeiter arbeiten mit Frontoffice-Mitarbeitern auf der geschäftlichen Seite des Unternehmens zusammen, um sicherzustellen, dass diese die gesetzlichen Anforderungen einhalten, und um Sales-Mitarbeiter, Trader, M&A-Banker und andere Mitarbeiter im Finanzdienstleistungssektor über die Erwartungen nationaler und internationaler Regulierungsbehörden zu unterrichten.
Diese regulatorischen Funktionen im Finanzdienstleistungssektor können in verschiedene Kategorien unterteilt werden:
Sales und Trading Compliance – arbeitet mit den Sales-Mitarbeitern und Tradern einer Bank zusammen, um sicherzustellen, dass diese bei ihren Tätigkeiten den Anforderungen der zuständigen Regulierungsbehörde gerecht werden. Sales- und Trading-Compliance-Mitarbeiter sind oft Produktspezialisten – z. B. können sie auf Anleihen, Aktien oder Derivate spezialisiert sein.
Control Room Compliance – dabei handelt es sich um zentralisierte Aufgaben wie die Pflege der Sperrliste (welche den Zugriff auf die vertraulichen Informationen auf Schlüsselpersonen beschränkt). Weiter soll sichergestellt werden, dass Chinese Walls aufrecht erhalten werden und geprüft werden, ob abnormale oder bedenkliche Handelsaktivitäten stattfinden. Sollten bestimmte Mitarbeiter auf „Stop and Watch“-Listen gesetzt werden, obliegt es dem Control Room Compliance-Team zu gewährleisten, dass ihnen Einhalt geboten wird (stop) – und sie beobachtet werden (watch).
Monitoring und Überwachung – Überwachung spezifischer Verhaltensweisen und Trading-Transaktionen, die auf betrügerische Aktivitäten hinweisen könnten, wie z. B. Insider-Handel oder Marktmanipulation an den Börsen.
Anti-Geldwäsche (AML) – Verhindert Geldwäsche (bei der den Einkünften aus illegalen Machenschaften der Anschein verliehen wird, legitim zu sein).
Asset Manager und Hedgefonds stellen ebenfalls Compliance-Mitarbeiter ein, ebenso wie Retail Banken und Versicherungsgesellschaften. Vor dem Hintergrund der globalen Finanzkrise hat die Regulierung von Finanzdienstleistern zugenommen und die Compliance hat somit an Bedeutung gewonnen. Zusätzlich zu den von Compliance-Recruitern in den oben genannten Bereichen angebotenen Stellen für Compliance-Mitarbeiter, Compliance Manager und Senior Compliance Professionals umfasst dieser Abschnitt auch Stellen bei Finanzmarktaufsichtsbehörden wie der FSA (in Großbritannien) und der SEC (in den USA), der BaFin (in Deutschland) und der Finma (in der Schweiz). Diese Berufe befassen sich häufig mit der Durchsetzung gesetzlicher Bestimmungen.
Neben Compliance-Mitarbeitern stellen Banken und Finanzdienstleister eine Heerschar von Rechtsanwälten und juristischen Hilfskräften ein, um sicherzustellen, dass die mit ihren Geschäften verbundenen Dokumente und Verträge gesetzeskonform sind.
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