Thursday, November 11, 2010

NEEDED: Chief Compliance Officer (CCO), Director of Examinations/Inquiries

Now needed: Chief Compliance Officer (CCO)
Client seeking a CCO who has experience with 2 primary Business lines:
- Standard retail accounts, including a leading online self directed trading offering with an emphasis on equities, funds, options and futures and forex.
- Custody and Clearance for independent registered investment advisors (RIAs)
Must have S7, 24
; 3, 4 desirable.
Experience managing a geographically dispersed staff of 10 or more also desirable.

Location and full job description on request. This opportunity is not currently on the Internet. Please call (973) 826-0537 or send an e-mail to:
You may also submit your resume and receive a quick response.

We also are now seeking a Manager of Branch Examinations - : UPDATE: was posted on 11/13 resumes can be reviewed and submitted now. Philadelphia area. Manage program/personnel overseeing inspections & surveillance of FINRA member Broker-Dealer.

Director of Examinations and Inquiries
- Investment Bank (NY)
Individual hired will be responsible for coordinating responses to Regulators, in connection with inquiries, annual & cause examinations. Manages fifteen (15) employees, only two directs. Responsibilities include but are not limited to:
• Handle inquiries and regulatory examinations for Broker-Dealers
• Responsible for significant inquiries and examinations
• Review, investigate and respond to regulatory inquiries and examinations from Regulators
• Negotiate settlement agreements w/Regulators to resolve rule violations
• Responsible for hiring, compensation, group policies and training

Please e-mail resume and brief cover letter to:

See More on the above and more at

Twitter Updates

    follow me on Twitter

    Call Rosenthal Recruiting to Discuss your Hiring Needs and Career

    (973) 826-0537