Friday, July 15, 2011

Chief Compliance Officer - CFTC or NFA Tenure Required

Title: Chief Compliance Officer (CCO)

The Chief Compliance Officer opening - as most do - oversees the Company’s Compliance department, functioning as an objective body that reviews and evaluates compliance issues/concerns within the organization. The CCO position ensures that management and employees are in compliance with rules and regulations of regulatory agencies, that company policies and procedures are being followed, and that behavior in the organization meets company’s Standards of Conduct.

Salary: Commensurate with experience; Budgeted for range up to $350,000
Benefits: Medical, Dental, Vision, 401K Plan, Life Insurance
Location: New York, NY


* 7 + years of NFA and/or CFTC experience
*Audit, fraud prevention, AML, NFA Form 1-FR-FCM and the NFA's Financial Requirements
*Management experience required
*Ability to prioritize and handle complex compliance related projects.
*Must possess a strong work ethic and be a team player with the ability to work well under pressure.
*Strong analytical skills, including ability to design and document effective work processes.
*Strong research, organizational, problem-solving, and project management skills.
*Ability to develop and maintain effective working relationships with business managers.
*Excellent verbal and written communication skills
*Litigation/mitigation experience preferred
*Forex (FX), Currencies market experience preferred
*Bachelor’s Degree. Master’s or other Advanced Degree desired.

* Develop, initiate, maintain, and revise policies and procedures for the general operation of the Compliance Department and its related activities to prevent illegal, unethical, or improper conduct. Manage day-to-day operation of the department.
* Provide guidance to Senior Managers on regulatory requirements.
* Develop, periodically review and update Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees.
* Collaborate to direct compliance issues to appropriate existing channels for investigation and resolution. Consult with Legal and Attorney(s) as needed to resolve certain legal/compliance issues.
* Respond to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations.
* Act as an independent review and evaluation body to ensure that compliance Issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
* Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.
* Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future.
* Provide reports on a regular basis, and when directed or requested, keep management informed of the operation and progress of compliance efforts.
* Ensure proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
* Institute and maintain an effective compliance communication program, including promoting understanding of new and existing compliance issues and related policies and procedures.
* Work with Human Resources and others to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.
* Monitor performance of the Compliance department and related activities, taking appropriate steps to improve its effectiveness.

Please e-mail resume and brief cover letter to:
The Rosenthal Recruiting website has more information and ways to connect:

Friday, July 8, 2011

Position Title: Law Firm Senior Associate or Counsel

Employer: A-List Top-Ranked AmLaw Law Firm.


Knowledge of FINRA rules, regulations, practice and experience advising financial institutions in this area, particularly relating to Securities Offerings and/or experience working at FINRA.

Preferred - Ideal Candidate:
Top grades/credentials

Class Year:
2000-2002 JD year

up to $290,000 per year. Bonus eligible.

Please e-mail resume and brief cover letter to:

If you prefer feel free to call (973) 826-0537 to discuss this opportunity

More on the Law Firm?
With over 1,000 attorneys in numerous offices and countries, this New York-based Firm handles one of the largest number M&A transactions of any U.S. firm annually, is one of the highest grossing law firms in the world, and most recently announced bonuses that kept pace with the market leaders. Current employees praise both the work and their co-workers at the firm, many saying it is the best place for associates.

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    (973) 826-0537