Saturday, March 25, 2017

Are you ready for the future of work? How secure is your career? 
In March 2017, Stuart Rosenthal, of Rosenthal Recruiting attended

Is a robot going to take my job, and what is the future of work in technology? (click to open to Event Brite).

Stuart and others in attendance heard Nate Thompson, VP Strategy and Innovation of Oppenheimer Funds, talk about the future of work. Nate is a catalyst, healthy disruptor and recipient of the 2016 Workforce Magazine Game Changer award. Key Takeways from Nate: Artificial Intelligence (AI) is going to take away some of our jobs though not all - he showed a favorite photo of his mother, a former Bank Executive with his then 1-year old son - that led to more key points ('Nateisms') to illustrate how we all must continuously improve as we advance our career. Among other examples, Nate showed the Snapchat (SNAP) IPO market capitalization - noting it is the platform that matters not the 'disappearing photos' that creates long-term value. 

If you get a chance may see a LinkedIn post about the event - where you see that it 'was very good.' Connect or you may join the conversation there too.
You can also see a TweetWe all can be ready for the future of work - Nice evening. Great presentation.
Are you ready for the future of work?  We all should and can be as we heard from Nate Thompson in a dynamic talk in the Brookfield Financial Center near the Freedom Tower (World Trade Center) in New York, NY

Tuesday, December 20, 2016

Looking forward to 2017- 'Opening Doors, Pulling Some Strings'

Happy New Year, Kwanzaa, Christmas, Hanukkah 

In this - we note a bit on job search suggestions  - then note a Chief Compliance Officer job opportunity and invite you to join a LinkedIn Group founded in 2007.

This is intended as an informal year-end 2016 summary though really it is a long, 'free form' BLOG entry. 

In social media terms: Throwback, Flashback or Compliance a "Lookback" - all are a fine thing to do as is always looking ahead to 'opening doors, pulling some strings' -  the quote is from 'Golden Years' - Song by David Bowie - click here for YouTube video.

FIRST - photo is here after it was shared via LinkedIn and Twitter In the photo Stuart Rosenthal is shown with Walter Ferstand and Dina Venero at a meeting in December 2016. The photo was taken by Bob Morris. Suggestions: 1. Click the link on each person's name here to view LinkedIn Profile. 2. If you can go, a Holiday Party w/ friends, business contacts, colleagues can be fun and a terrific opportunity to meet new people. For those open to a new opportunity: "Many feed into holiday hiring myths, but, diligent job seekers will have a competitive edge over those who decide to put their job search on hold until after the holidays." Read more via FlexJobs in an article "Holiday Hiring Tips to Hone Job Search" written by Erin Kennedy, Executive Resume Writer at #jobsearch

To summarize: a few of the places on the Rosenthal Recruiting end of 2016 'radar' are New York, New Jersey, Ohio, Washington, Chicago, Tennessee, UK, Europe and Asia as more hiring expands globally close to or beyond where Rosenthal Recruiting is based in the United States (U.S.).

One opportunity - is with a Company in the FINRA District including Georgia, Tennessee, Louisiana is now focused on hiring a Chief Compliance Officer (CCO) - person who is now employed by Firm with a similar if not precise business model, Series 24, 53 preferred; current experience must be in fixed income securities underwriting, trading operations. Relocation was planned for this that is just one opportunity that Rosenthal Recruiting worked on in 2016.

​If interested you can discuss current or sought after openings, any questions, other options too.  We can discuss who you may refer or may like to work in a new job, discuss incentives, regulations pending, industry formal scheduled conferences as well as informal events planned for 2017. Stuart Rosenthal - would like to call you soon and hopefully you will travel to meet like minded professionals soon. Otherwise - you should feel free to dial without an appointment during business hours for the person you wish to speak with.
- is a LinkedIn Group name. If a member, there you will see posted articles, blogs and comments. You may be interested that the Group members now number over 8,025 though its rules, name were adjusted recently as were some features of the interface based on the Microsoft (MSFT) 'deal'; ICYMI - you may read more about likely changes - a place to do so is Bloomberg on Dec 13, 2016:  How Microsoft and LinkedIn Can Make This Expensive Deal Work

Please e-mail your resume in MS WORD format to: You will receive a prompt response. Please include a brief "Cover Letter" with resume to note what you are aiming or applying for.

Phone: (973) 826- 0537

Monday, September 19, 2016

RECRUITING: Director of Fixed Income Compliance Location: Confidential SUMMARY: Experienced Broker-Dealer Compliance Officer to support Debt Capital Markets business

The position will report to and may shortly replace the Chief Compliance Officer (CCO) for a FINRA Member Investment Bank (Broker-Dealer). The candidate must have a deep understanding of FINRA, S.E.C, MSRB, all rules and regulations relevant to the underwriting, sales, trading of fixed income securities.

Responsibilities include
Participate in the development and maintenance of comprehensive written supervisory procedures by providing guidance to business units
• Work closely with management to provide analysis and resolution of daily compliance matters as well as implementation of new rules
• Assist in conducting on-going surveillance, reviews and testing and maintaining proper documentation of all reviews conducted by the compliance department
• Research and respond to regulatory inquiries on an going basis, as necessary
• Assist with the coordination of examinations with various government and regulatory organizations
• Assist in internal and external examinations, including follow-up actions
• Participate in development and implementation of employee training
• Keep abreast of proposed compliance rules and regulatory requirements, participate in Industry forums, committees. Perform other compliance duties, as necessary

Qualifications and Work Experience Required:

5 or more years’ experience working in fixed income securities compliance, underwriting, trading or operations. Series 7 and 24. Series 53 preferred as is a current senior Compliance Officer title.
• Must have demonstrated Project Management as a FINRA Member Compliance Officer. Ability to work both independently and in a team environment
• Broad knowledge of Broker-Dealer operations, deep understanding of sales and trading of fixed income securities, investment banking rules and regulations relevant to these.
• Competitive compensation package commensurate with experience. 401(k) plan, paid vacation, medical, dental insurance plans, flexible spending accounts.

Please e-mail resume and brief cover letter to:
Website has more information including phone number which is the best way to make contact to learn more about the opportunity, exact location, discuss compensation and your candidacy:

Wednesday, December 23, 2015

If you request it or sign up  - that's how to receive future Rosenthal Recruiting messages to your in-box.

We always look forward to speaking about career opportunities, locations or issues that you are interested in - as well as new trends that are expected.

In 2016-17 with Rosenthal Recruiting - a particular area we will address is: why companies use contractors and why candidates choose to work on contract... Stay tuned here or perhaps follow via Twitter.
E-mail signup

Friday, October 30, 2015

Rosenthal Recruiting - Oct. 30 2015

One thing to suggest is a Group at LinkedIn that has Members you seek to associate with. One now with just under 7000 members is a link as one of the first things in this update.
RR Icon  RR Compliance Group on LinkedIn
Created November 2007 - Purpose:  Reach other Broker-Dealer and Investment Advisor Compliance Officers. Referrals from Group members. View profiles, News and Jobs posted by Group members.

Informal Rosenthal Recruiting Summary
1. Dallas, TX Compliance Analyst. Investment Company Act (1940 Act) work experience required to gain an interview.
2. BROOKLYN, NY Total Rewards Compensation, Benefits Director; Relocation w/ job offer.
3. Cleveland, OH Business Analyst (BA) SOFTWARE SAP, VISIO experience strongly preferred.
3. Morris County NJ Health Care, Medical Regulatory. Expert Knowledge of medical devices a must.
4. Chicago, IL Broker-Dealer Branch Examiner
5. New York, NY OP RISK - Equity position. Role recently vacated and at to the Director level.
6. Jersey City, NJ Broker-Dealer Compliance SERIES 24, REQUIRED
Most above job descriptions are on website, all are available via e-mail.
Stuart Rosenthal
The Rosenthal Consulting Group
(973) 826-0537

Thursday, August 27, 2015

Rosenthal Recruiting – India, Asia, NY, DC

Would or did you read an email, Tweet or article with this subject "Govt floats ad for new Sebi chief*."
We did.

Rosenthal Recruiting  - receives many emails noting continued interest in career opportunities** – i.e. new positions primarily in the U.S. though also from those seeking a job in some other locations - that we're glad to read. We have set up interviews for clients located in India, and US clients in Singapore, Hong Kong offices.

If you sign up, we can send you occasional email - - if you act soon we will send a newsletter "Report" about a Washington, DC Compliance Officer position ASAP. We have sent it to a small number of people vs.​ entire Rosenthal Recruiting list recently​. Of course if you have not seen it may sign up to receive the Rosenthal Recruiting 'newsletter' to learn about Events as well as Recruiting opportunities.

We all get so much email and this week - we've seen and observed some real news as well as the Dog Day photos yesterday. This past week we saw some Trump, Bank, Stock Index and Bernie Sanders on screen that we liked or just read. It is best to speak and looking forward to doing so again or for the very first time soon.

If you request – we will send the Preview of our next “newsletter” that will be chock full of social media links perhaps.
*Excerpt about SEBI from Mumbai:
The selection process for the new chief of market regulator. The finance ministry has put out an advertisement on its website inviting applications for the post.
The government has also allowed individuals from the private sector to apply for the post. Recently, the government has appointed two officials from the private sector in the public sector banks. The candidates have to apply for the post by October this year.
This was reported via John Lothian via a Tweet link to Full article link. We did have the article 'pinned'.
**Link to Spotify Playlist “Career Opportunities”

Wednesday, June 3, 2015

You may see LinkedIn information articles, Tweets as posted at This Page is one way to catch up without registration, signing on or "Tweeting" to do so, though e-mail is a primary way to communicate in 2015. ​This Opportunities Page at links to frequent modified openings.  

You’re welcome though not expected to follow via Twitter and Instagram for quicker updates.

Of course if you have not seen it may sign up to receive the Rosenthal Recruiting 'newsletter' to learn about Events as well as Recruiting opportunities.

Saturday, October 11, 2014

Audit Supervisor - is highlighted - with a top tier U.S. CPA Firm. Other roles I can now discuss and submit include an office in Nassau County on the North Shore of Long Island.

Internal Controls and Audit Supervisor both based in Midtown New York near Rockefeller Center. Full written job descriptions available promptly on request for all.
Audit Supervisor
Position Description

Be a contributing part of a team that earns the confidence and respect of clients across a diverse spectrum of industries and professions. In this highly responsible role, Auditor supervise field-work for client audits and the activities of 1-5 junior accountants. Reporting to the Audit Manager, you will examine financial records; prepare reports of financial positions; and review results of operations, compliance reports, and internal control reports. Your input on improving client’s financial position and operating procedures is encouraged. In this role, you will also prepare and review corporate, partnership, individual, and trust tax returns.

To succeed in this position, considered candidates must demonstrate an understanding of the scope and approach to audits of businesses in various industries, among them
  • Real Estate
  • professional services
  • Pension funds and Benefit plans
  • Non-profits
  • Manufacturing
Undergraduate or graduate degree in Accounting
5+ years at a public accounting firm, or comparable industry experience
Excellent writing and verbal communication skills

Company: is nationally respected top ranked CPA and advisory firm. EEO Employer. 
Easy to reply, forward or call. I can discuss other Recruiting, and professional events.
Stuart Rosenthal
The Rosenthal Consulting Group LLC

Thursday, October 9, 2014 is devoted to helping young adults find opportunities through odd-jobs by local area homeowners. In meantime you can click though links provided via Twitter and more, no Tweeting or following required to view Tweets, though Facebook and this Blog can all be worthwhile. We have not posted here of late sharing links at places such as Pinterest as well others major social media websites. This Blog entry mirrors what is at Facebook where the Youhire founder Tom Cerna noted on 10/9/14: We're working on raising money thru a Kickstarter campaign. Anyone who believes that a site which allows homeowners to post odd-jobs for young adults to perform should visit the site at Any contributions to our Kickstarter campaign is greatly appreciated. The campaign runs until Oct. 27, 2014.

Monday, February 17, 2014

Feb. 2014

Seeking current interest in this brief position description. Office near Wall St. (NY) with a company that is an established FINRA member Broker-Dealer.

Senior Compliance Officer - Position who will predominantly be responsible for the coordination of regulatory examinations and inquiries, Financial Industry Regulatory Authority (FINRA) Rule 3130 annual reviews (adequacy of supervisory procedures) and helping to perform the analysis of and response to customer grievances as the need arises.

If this opportunity or anything else may be of interest - or not let's speak by phone on this - soon in February or March 2014.

Please call (973) 826-0537 or send an email to: to discuss hiring,  job search, opportunities you are interested in that are listed or may be in the future. If you submit your resume - expect to receive a quick response.
Stuart Rosenthal
The Rosenthal Consulting Group LLC


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