Rosenthal Recruiting - Jobs, Compliance and Financial Oversight

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.

Sincerely, 

Stuart Rosenthal

Rosenthal Recruiting  

Stuart@RosenthalRecruiting.com 

(973) 826-0537  

http://RosenthalRecruiting.com