Tuesday, October 23, 2012

This is a brief summary of two full-time and permanent job openings.

Company Overview - International Consultancy
For a Chief Compliance Officer (CCO) position focused on Derivatives, Swap Execution Facility (SEF) Regulations and system implementation the office location is near Wall Street., downtown New York. This is a Consultancy - yet the position is permanent and will have the title of CCO of the organization. Compensation can be $300,000+ perhaps higher for the 'right person.' 

Public Company headquartered outside U.S., operations in Europe, North America and Asia-Pacific (Singapore, Sydney) to service its global client base. Employs over 400 capital markets consultants worldwide.

Company works with institutions to enable proprietary and 3rd party systems. This International consulting firm is now looking to bring on a CCO to manage the compliance needs of the growing firm. They're looking to add another 1000 people to headcount in the next 18 months

Overview and Requirements: Explain Swap Execution Facility (SEF) regulatory requirements pursuant to Dodd-Frank. JD preferred. Ability to pick up a phone to call the CFTC, NFA and S.E.C. to clarify ambiguous rules.  That means: great connections in the 'derivatives world' including regulators.

Internal Audit - Broker-Dealer and Bank Regulatory Compliance

This Company main office and job location is in Midtown New York near Grand Central Station. Other Company offices located in New Jersey and across the U.S. where an employee may be able to work out of.
Responsibilities: Compliance program implementation and assistance with existing programs.Client consulting in such areas as Bank Regulation, Compliance, AML projects, USA Patriot Act, Federal Deposit Insurance Corporation Improvement Act (FDICIA) and Sarbanes-Oxley. 

Requirements include   
Up to eight (8) years of industry work experience servicing or working as an employee of a Broker/Dealer or Bank. Anti-Money Laundering (AML) experience required. Internal audit experience within a CPA firm or other related entity may be considered. 

Compensation commensurate with candidate salary history. Base Salary range may be up to $125,000. Full and industry leading benefits offered.

Let me know what you think about these openings by e-mail, call or suggest I call you to discuss anything related.
While these are not posted, select openings may be seen at the Rosenthal Recruiting Job Board.

Stuart Rosenthal
Rosenthal Recruiting  
(973) 826-0537  

Saturday, September 1, 2012

Please e-mail resume and brief cover letter to: Stuart@RosenthalRecruiting.com
Website has more information and ways to connect: http://www.RosenthalRecruiting.com

Job Description 

Position Title: Head of Legal & Compliance – U.S.

Location: New York, NY
Company: Leading Global Financial Institution - Start-Up U.S. Broker-Dealer

Summary: This is the first position to be hired in the U.S., the initial focus will be on obtaining broker dealer licenses and registration, developing internal controls and compliance systems and all business ‘set up’ including intellectual property, office lease and employment contracts. The candidate will work from home until an office is established.

Reports to: The position will report to the Global Head of  Legal & Compliance and the New York business head (once hired). The role is based in New York.

• Liaise and deal with local Regulatory Authorities. Ensure compliance with relevant laws and regulations.
• Review and process registration requests and updates. Develop and implement
appropriate internal controls to monitor day-to-day compliance with all applicable
Regulations and Guidelines.
• Work with outside counsel to establish the business, obtain all necessary licenses, set up
internal compliance systems, handle all reporting to FINRA and S.E.C. and provide legal
advice with respect to our area of operations.
• Manage Registration  and Continuing Education activities, including FINRA and state
securities registration and licensing, of the firm and its personnel.
• Ensure that each business line has and maintains a strong compliance control environment.
• Draft and update written supervisory procedures, Anti-Money Laundering (AML) procedures etc.
• Review and evaluate internal controls and procedures for complying with AML/KYC and  OFAC regulations. Review and revise policies and procedures applicable to AML/KYC compliance and all Written Supervisory Procedures (WSPs).
• Independently manage the Company Secretarial functions, including finalization of agenda and minutes for board meetings and general meetings, finalization of Annual Report (Notice,  Directors Report & Corporate Governance report), notice through postal ballot, statutory filings, maintaining statutory registers, correspondence with the shareholders and handling investor grievances.
• Enforce compliance by Company employees of the code of conduct, policies, procedures implemented by the Company.

Requirements and Qualifications
• J.D. or LLM, admitted to practice law in U.S.
• 8-15+ years of experience
• Experience as a senior legal/compliance officer of a FINRA registered broker dealer
• Strong knowledge of FINRA and relevant laws and regulations regarding broker dealers
• Excellent communication skills and ability to interact with all levels within the organization
• Team player with flexible work style
• Able to work with different cultures and to adapt to changes in a growing business

Monday, March 26, 2012

Compliance Officer - Private Equity - New York, NY

Company Description: A global Private Equity firm. Founded more than 30 years ago. Company Funds advised exceed $30 billion.

Position Responsibilities: The U.S. Compliance Officer or 'Associate' will report to the Global Head of Compliance based in London and will support the Chief Compliance Officer (CCO) based in New York. The U.S. Compliance Associate will have primary responsibility for performing the compliance monitoring work in accordance with the agreed program.
Additional responsibilities will include:
• Maintain regulatory records in the U.S.
• developing an understanding of business and application of SEC requirements to the business
• Act as the initial point of contact in the U.S. office for compliance related queries
• Monitor regulatory developments and contributing towards global compliance policies
• Provide ad hoc compliance advice to the U.S. office
• Assist the Global Head of Compliance with training for the US office
• Work as part of a global compliance team with colleagues based in London
• Monitor personal account trading against the restricted list and Code of Ethics

Experience and Requirements:
• Excellent academic record
• Must have experience employed in the Office of Compliance Inspections and Examinations, Investment Management or Trading and Markets at the S.E.C. Related in-house Hedge Fund or Private Equity experience will be considered.
• Must be able to work pro-actively and be a self-starter
• Must have strong written and communication skills

Please e-mail resume and brief cover letter to: Stuart@RosenthalRecruiting.com

Website has more information and ways to connect: http://www.RosenthalRecruiting.com

Thursday, March 15, 2012

Rosenthal Recruiting Named One of
Constant Contact’s 2011 All Stars

Rosenthal Recruiting recognized for achieving exemplary marketing results

MONTCLAIR, NJ March 15, 2012 – THE ROSENTHAL CONSULTING GROUP LLC DBA Rosenthal Recruiting which places legal and financial services candidates has received the 2011 All Star Award from Constant Contact®, Inc., the trusted marketing advisor to more than half a million small organizations worldwide. Each year, a select group of Constant Contact customers are honored with the All Star Award for their exemplary marketing results. Rosenthal Recruiting’s results ranked among the top 10% of Constant Contact’s customer base.

Since inception, placements and clients of Rosenthal Recruiting include NYSE-listed corporations, investment banks, hedge funds, mutual funds, broker-dealers, AmLaw 100, 200 and boutique law firms, global-to-start-up broker-dealers, registered investment advisers and nationally recognized statistical rating organizations (aka ratings agencies).

Stuart Rosenthal, Managing Director of Rosenthal Recruiting, said: ‘We’re happy to be recognized by Constant Contact for achieving strong results. Constant Contact’s tools have helped us in the following specific ways to better manage customer/ candidate relationships and communication. This is important to me, and we are planning to leverage Constant Contact to develop these relationships in the year ahead.”

Constant Contact customers using any combination of the company’s Email Marketing, Event Marketing, and Online Survey tools are eligible for this award. Constant Contact looked at the following criteria to select this year’s All Stars:

• Frequency of campaigns, events, and surveys
• Open, bounce, and click-through rates
• Event registration rates
• Survey completion rates
• Use of social features and mailing list sign-up tools

“There is nothing we like more than to see our customers finding success. It’s the reason Constant Contact was founded, and it’s a thrill to see the fantastic results that our All Stars are achieving,” said Gail Goodman, CEO of Constant Contact. “This group is really leading the charge when it comes to delivering relevant, engaging content that drives real business results. We salute this year’s All Stars for their success, and are honored to have played a part in their achievements.”

Rosenthal Recruiting is a premier recruiting and search firm with a focus on the financial and legal services including Broker-Dealers, Investment Advisors, Hedge Funds and Asset Managers. We provide company centric Compliance, Legal, Internal Audit and Financial Accounting human resource services with an emphasis on both a skills and organizational fit.

About Constant Contact, Inc.
Constant Contact is revolutionizing the success formula for small organizations through affordable, easy-to-use Engagement MarketingTM tools that help create and grow customer relationships. More than half a million small businesses, nonprofits, and associations worldwide rely on Constant Contact to drive ongoing customer dialogs through email marketing, social media marketing, event marketing, and online surveys. All Constant Contact products come with unrivaled KnowHow, education, and free coaching with a personal touch, including award-winning customer support.

Constant Contact and the Constant Contact Logo are registered trademarks of Constant Contact, Inc. All Constant Contact product names and other brand names mentioned herein are trademarks or registered trademarks of Constant Contact, Inc. All other company and product names may be trademarks or service marks of their respective owners.

Media Contact:
Stuart Rosenthal

Friday, January 27, 2012

Rosenthal Recruiting Job Board now has an excellent Senior Compliance Officer job opening. This new job listing can be viewed at the following location: http://rosenthalrecruiting.jobamatic.com/a/jbb/job-details/640686 This job is located in Washington DC metro area and the employer is a Financial Industry leader. Salary Range: Up to 100,000 + Bonus and Generous Benefits. 15% bonus potential. Required Knowledge and Work Experience: Experience working with SEC, FINRA and other securities regulators Experience writing and implementing policies and procedures Experience conducting audits Experience working with the Investment Company Act of 1940 Excellent analytical skills Excellent organizational skills Experience delivering training Company Description: Provider of specialized Mutual Funds. More than $25 Billion in Assets Under Management (AUM). See/More/Apply Please e-mail resume and brief cover letter to: Stuart@RosenthalRecruiting.com Website has more information and ways to connect: http://www.RosenthalRecruiting.com

Saturday, January 21, 2012

Broker-Dealer Compliance Officer Global Bank (New York) REQUIREMENTS include Two (2) - four (4) years as a Compliance Officer for a FINRA Member Broker-Dealer or Bank. Bachelors Degree; MBA preferred. Read all about and how to apply. Base pay could be up to $95,000.

Twitter Updates

    follow me on Twitter

    Call Rosenthal Recruiting to Discuss your Hiring Needs and Career

    (973) 826-0537