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 https://lnkd.in/d4su3hY #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: Stuart@RosenthalRecruiting.com. 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: Stuart@RosenthalRecruiting.com.
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:

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    (973) 826-0537