Saturday, August 10, 2013

Stuart Rosenthal
more available on various websites. 
  • Vice President at Legend Global Search, Inc.
  • Compliance Officer at Soleil Securities Corporation
  • Senior Compliance Manager at Jefferies & Company, Inc.
17 people have recommended Stuart
Over 2000 'first-level' LinkedIn connections

Managing Partner

The Rosenthal Consulting Group dba Rosenthal Recruiting

About The Rosenthal Consulting Group


  • Private Advisers Slow To Hire CCOs

    • Compliance Intelligence from Compliance Reporter
    • January 10, 2013
    Authors: Stuart Rosenthal, Peter Rawlings
    "The growth of compliance teams is not what you think it would be," said Stuart Rosenthal, managing director of Rosenthal Recruiting. "It's a business decision first. The majority of firms are outsourcing when they can or hiring a junior person." Some advisers that have hired full-time compliance staffers have chosen to target more junior candidates, so as to limit the initial expense of the new...more
  • Recruiters Play Money Ball

    • Money Management Executive
    • June 25, 2012
    Authors: Stuart Rosenthal, Tommy Fernandez
    Stuart Rosenthal, Managing Director of Rosenthal Recruiting, says he regularly sees discounts between 25% to 30% compared to pre-crisis. Moreover, he sees huge demand for junior talent. “I see a lot of firms, whenever possible, looking at the most junior candidates they can, seeing if they can get someone with three years, or five-to-seven years, instead of 10-years,” he says. “People are hiring...more
  • Where Compliance Pros Connect Online

    • The Wall Street Journal Digital Network
    • March 26, 2010
    Authors: Stuart Rosenthal, Julie Steinberg
    If you’re looking to keep up with the latest on all the new decrees or just a little cyber-networking, here’s a guide to online communities for compliance officers. Broker Dealer, Investment Advisor Compliance Officers brings together, you guessed it, BD and IA compliance officers — and has nearly 700 members. It's run by compliance recruiter and blogger Stuart Rosenthal. Compliance Oversights is...more

Wednesday, June 26, 2013

100 people have endorsed Stuart Rosenthal for "Hedge Funds", other people have endorsed him for "Recruiting," "Compliance" and more via LinkedIn.

IF UNFAMILIAR please view other Rosenthal Recruiting website(s) and LinkedIn Groups - available in one place.

Now you can watch all episodes of "Side Bar With Bill Singer" on 'Reuters Insider'.

Note: This was recorded in Thomson Reuters Studio  (photo is of  Control Room). 

(Photo Courtesy Thomson Reuters)

Watch "Side Bar With Bill Singer" on Reuters Insider. Episodes now available listed here and at 

Now you can listen and watch 

Thursday, January 10, 2013

Private Equity (PE) and Hedge Fund (HF) Compliance Hiring less than expected. Who says? “The growth of compliance teams is not what you think it would be,” said Stuart Rosenthal, managing director of Rosenthal Recruiting. “It’s a business decision first. The majority of firms are outsourcing when they can or hiring a junior person.” 

Read more of what was said by +Stuart Rosenthal, other Recruiters,  Mavis Kelly, Assistant Director with the S.E.C. Office of Compliance Inspections and Examinations (OCIE) as well as a Chief Compliance Officer and General Counsel at a Greenwich, CT-based Hedge Fund. The Assistant Director of OCIE warned about outsourcing an entire compliance program.

Tuesday, January 8, 2013

Comments from Senior Sell Side Compliance Officers of late to +Stuart Rosenthal: Compliance is getting tougher and tougher, There are some good regulators that do not have an agenda.

From Another:
IS it a good time to be in compliance?  I know people getting out because the regulators are targeting CCO's and some of the regulations have gotten crazy, not to mention that budgets are terrible because the business isn't robust.

Yet another CCO is concerned because he knows Investment Banking and Trading Commissions are 'squeezed.'

What else is new? Today from Twitter 

finally announces enforcement director's departure weeks after initial reports:

Did you know you can have a free trial toCompliance Intelligence 

Today I viewed a NOTICE TO SUBSCRIBERS: CI has launched a free LinkedIn group and you’re invited to join. Its offer to sign up says: to catch up with headlines and the latest discussions sign up at Compliance Intelligence from Compliance Reporter.
Of course I am happy to inform anyone who asks or meets Group requirements that the Group I manage which is named
Broker/Dealer Compliance Officers logoBroker/Dealer, Investment Adviser Compliance Officers now has 4,505 Members. The Discussion are closed to members. What is the Group Purpose:
  • Reach other Broker-Dealer and Investment Advisor Compliance Officers
  • Referrals from Group members
  • View profiles, News and Jobs posted by Group members.
  • Members are exclusively Compliance and Legal - subject to an exception request made and approved by Group Manager.

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