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

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.”

ABOUT ROSENTHAL RECRUITING
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
Stuart@RosenthalRecruiting.com
973-826-0537

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

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.

During 2009-2011, Rosenthal Recruiting was pleased to handle many candidate interviews for Clients and made a record number of Placements. As 2012 is on the horizon, it's time to look forward to a another successful new year. We would also like to take an opportunity to provide an update on 2012 capabilities. We expanded our geographical footprint and added outsource capabilities, while maintaining the highest requirement standards for our permanent placement business line. In 2011, we held Rosenthal Recruiting's first two "Networking Mixers" for the LinkedIn "Broker-Dealer, Investment Advisor Compliance Officers" group that we moderate. Held in New York and Boston, both were successes. Clearly, our industry finds this form of "social networking" productive - and social. This is just one way Rosenthal Recruiting has set itself apart in the challenging economic environment since its founding. The LinkedIn group now has over 2,300 members - many but not all in the New York area. Members reach outside of and across the U.S. An article about the Group can be found at the Media Appearances section of our website RosenthalRecruiting.com. Of course our network reaches way beyond LinkedIn and New York. Our most recent placements included New Jersey and other states - MA and MD - near DC - outside of the NY area. Click for Group Join website. ------ As you may know select openings may be seen at the Rosenthal Recruiting Job Board. Please note that a number of other openings are not and never are posted.

Rosenthal Recruiting active job openings now include the following: Miami, FL Bank Compliance Officer $80,00 base salary + bonus Pittsburgh, PA - RIA/BD Chief Compliance Officer (CCO) Base Salary - $85,000 NJ - RIA/BD CCO Base $165,000 or more potential Best Wishes for the Season and onward to 2012. The Miami position requires the following experience: Regulation B (Equal Credit Opportunity), Regulation D (Reserve Requirements of Depository Institutions), Regulation E (Electronic Funds Transfers, Regulation H (Bank Protection Act). Additional preferences on candidates experience: Regulation P (Privacy of Consumer Financial Information), Regulation U (Margin Stock) and Regulation Z (Truth in Lending) Please call (973) 826-0537 or send an e-mail to: Stuart@RosenthalRecruiting.com to discuss your situation and any opportunities listed or others you may be interested in now or for 2012. You may also submit your resume and receive a quick response.

Title: Product Control Manager Location: New York, NY Officer Title: AVP – VP Status: Fulltime Regular This is an opportunity for a experienced Accounting professional with Product Control experience for an Investment Bank. The person in this role will liaise with all Company employees with a focus on Trading and Capital Markets personnel. JOB DUTIES / RESPONSIBILITIES The Product Control Manager will have responsibility for accounting and controlling of traded markets products including equities, total return swaps, futures, forwards, options, FX , Commercial Paper and security financing transactions. The primary function of the role will be to take responsibility for calculation, analysis, explanation and reporting of specific daily, revenue figures. This also includes full reconciliation of all reported revenues with the traders and general ledger and consequently solving and reporting of these differences. JOB SPECIFICATIONS Generation and reporting of reliable Profit and Loss (P & L) information on a daily basis to traders, Management and accounting Reconciliation of the P & L figures with traders and acquire sign-off Reconciliation of the P & L figures with the general ledger Analysis and explanation of P & L, cash balance and FX exposure information Performance, trend analysis and comments on daily revenue figures and revenue related lines of the balance sheet and income statement Resolution of ad hoc queries Education and Experience Bachelors Degree in Accounting/Finance 5 or more years of experience in finance/front office trading environment, working for a global financial services firm. Knowledge of Financial Markets products Experience with Sophis and SmartStream systems preferred Knowledge of the USGAAP and International Accounting Standards MS Excel intermediate to expert level Risk awareness Competencies and other Requirements Very strong analytical skills and numerical insight Strong communication & negotiation skills Motivated and able to use own initiative Results-oriented Organizationally sensitive Initiative and innovation driven Please e-mail resume and brief cover letter to: Stuart@RosenthalRecruiting.com Rosenthal Recruiting website has more information and ways to connect: http://www.RosenthalRecruiting.com BLOG/LINKS/MEDIA TESTIMONIALS

Boston MA Wed. 11/2/11 - Advice on Social Media & How Bernie Madoff Was Nabbed

After a very successful New York event last summer, Rosenthal Recruiting will be at an after-work event in Boston. This is a convenient, informal yet professional event. This invitation has primarily gone out to the Broker/Dealer, Investment Adviser Compliance Officers Group in Boston and will be on Wednesday, November 2, 2011 from 5:30 to 8:00 PM (ET). This will include speakers and an opportunity to network with the local Financial, Legal, Investment Management and Broker-Dealer community. It should also be a nice hour or two for others interested in these topics. Please click here to forward - view or RSVP and reserve attendance. Evening Agenda - Welcome - Hot Hors D'oeuves 5:30 - 6:00 pm Event Speakers Paul M. Tyrell, Esq., Counsel at Bingham McCutchen LLP Topic - Social Media - The Devil's in the Details Guidelines & advice on how to use and not use Twitter, Facebook, LinkedIn, Google+ Frank R. Casey, Partner at SkyView Investment Advisers Frank is Co-Founder of the Foxhounds Madoff Whistle Blower Team featured in the movie "Chasing Madoff." This was based on the book "No One Would Listen: A True Financial Thriller." Books & Autographs Available. Discussion - 7:00 - 8:00 pm Location: Market 21 Broad St. Boston, MA 02109 Hot Spot downtown Boston. Market serves great food with specialty cocktails. Not to mention an outdoor patio for dining, a roof top bar for appetizers and cocktails...although snow & cold may prevent patio & roof Wednesday at Market is Winedown Wednesdays...enjoy a glass and dinner following your discussion of Social Media Best Practices & How Madoff Was Caught/ View Market Website

Cash Bar open throughout the evening. To repeat, please click here to View - Forward - RSVP attendance or go to Event Brite directly. That address is: http://www.eventbrite.com/event/2295074630 --------------------------------------------------------------- For information on the New York August 2011 Mixer which had over 100 attendees - click here: NYC Broker/Dealer, Investment Advisers Compliance Officers LinkedIn Group Mixer . Address: http://brokerdealerinvestmentadvisernycmixer.eventbrite.com/

Structured Products Compliance Officer - JOB OPENING in Asset Backed Finance (ABF) Dept of Major Investment Bank

Title: Structured Products Compliance - This position is part of the Asset Backed Finance (ABF) Department of a Major Investment Bank whose duties include: 1) Assist with developing, implementing and monitoring a risk-based compliance program to assure compliance with regulatory requirements and firm policies and procedures; 2) Participate in industry calls to understand and develop policies and procedures for proposed regulations impacting the ABF LOBs. Current focus will be on implementing regulations from Dodd-Frank, Volker Rule and amendments to Reg AB; 3)Become well versed in the products offered by ABF, the inherent risks of such products and the policies, procedures and controls surrounding them. Update and enhance such policies, procedures and controls to meet the changing needs of the businesses; 4) Prepare and present training materials to meet regulatory and firm requirements; 5) Assist in planning and preparation for exams and audits; prepare and gather documents to respond to regulatory inquiries; 6) Review to determine if employees are appropriately licensed; 7) Review marketing materials; review and documentation of MCRs; 8) Work with the deal teams to review and analyze required transaction documentation including, Structured Products Transaction Review Template, Compliance Certification, 23A Capital request forms; Provide support and surveillance to the ABF Syndicate Desk; 9) Liaise with Corporate Compliance to comply with required standards; 10) Participate on and potentially manage special projects; 11) Liaise with various support partners to provide advice and guidance to the business lines; 12) Assume full compliance responsibilities for specific areas/desks within ABF. Required and Desired Skills & Experience Understanding of the business lines and organizational structures noted above to facilitate interaction with investment bankers and traders; ability to develop a cross-functional knowledge of compliance responsibilities to gain a deep understanding of the regulatory framework, as well as specific internal and industry requirements. Bachelors Degree Required. For consideration by the Investment Bank Hiring Manager, please e-mail yiur resume and brief cover letter to: Stuart@RosenthalRecruiting.com Website has more information and ways to connect: http://www.RosenthalRecruiting.com. You call call 973-826-0537 first or email and ask for a call.

Mutual Fund Attorney - Job Opening: Up to $150K

Title: Mutual Fund Attorney
Up to $150,000 Package Company: Investment Management - Mutual Fund Company (in Washington D.C. area)
Type: Full-time, Permanent


Position Summary:
Must have S.E.C. Registration experience preferably three to seven years post J.D. with 1940-Act experience in current position, or in past.

Position will work with Legal Department on legal support matters for affiliated entities, including mutual funds advised by the Company and future investment companies organized as affiliated fund companies. The focus of the role will be to support 1940 Act Fund activities and will be largely responsible for owning the registration process, and other legal processes as assigned.

Required Education and Experience:
Experience required to fill this position should include familiarity with Mutual Funds and Mutual Fund regulation. Prefer candidates with the following specific requirements:
Must have current and recent experience over the last 3+ years working within the mutual fund/financial services industry
Up to 7+ years of Law Firm or in-house Paralegal experience
Knowledge and experience with Investment Company Act of 1940 and Securities Act of 1933 is required
Paralegal certification a plus
Knowledge of Mutual Fund Operations

Responsibilities include:

1. Drafting, reviewing and updating of regulatory materials, including registration statements and exemptive applications.
2. Handle aspects of registration statement process, including process enhancement and coordinating the printing of prospectuses and supplements.
3. Maintain master Legal Department calendar, including regulatory filings, board meetings and other non-routine projects.
4. Responsible for Legal Department document management and electronic files of regulatory materials.
5. Develop and maintain electronic reference library.
6. Oversight with respect to board meetings and the preparation of board materials including developing and maintaining pre- and post meeting processes.
7. Maintain and enhance project lists with respect to third party service providers to the Affiliated Funds.
8. Project management and manage special projects.
9. Draft initial registration statements for new funds
10. Manage contract authorization and negotiation process
11. Manage process related to contract terms and commitments
12. Maintain due diligence records for Sarbanes Oxley Process
13. Maintain legislative initiatives and update manuals
14. Update registration statement filing process (Maintain comment file and maintain binder of SEC response letters)
15. Document 497 filing process
16. Maintain master fund list in coordination with BISYS Legal Admin
17. Prepare and maintain Business Summary for Board meeting
18. Oversee authorized participant ETF handbook updates and dissemination
19. Oversee ISDA Master Agreement process and related documentation
20. Legal accounts payable administration
21. Other duties as assigned

Apply by Email with Resume and Cover Letter:
Stuart@RosenthalRecruiting.com
Website:
http://RosenthalRecruiting.com

Recommended Activities for September 5 Give Labor Day

What can YOU do on 'Give' Labor Day? Six recommended activities for the September 5 Give Labor Day are:
1. Make a referral or introduction
2. Critique a resume
3. Rehearse a mock interview
4. Share relevant job openings
5. Leverage Facebook or LinkedIn connections
6. Help a friend write a cover letter
Please read about it here

Questions may be directed to: Stuart@RosenthalRecruiting.com or 973-826-0537.

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


KNOWLEDGE, SKILLS AND WORK EXPERIENCE REQUIRED:
* 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.

DUTIES AND RESPONSIBILITIES include:
* 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: Stuart@RosenthalRecruiting.com
The Rosenthal Recruiting website has more information and ways to connect: http://www.RosenthalRecruiting.com

Position Title: Law Firm Senior Associate or Counsel

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

Requirements:
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

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


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

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.

This update provides some current Rosenthal Recruiting opportunities with links for more information. To view in HTML with live links please click here or go to http://conta.cc/iSOL6H

-----------------------------------------------------------------
Securities Counsel - Blue Sky Practice
Leading US Law Firm - New York Office Counsel Level. JD 2003 - 2006 ideally. Read More.

ISDA Negotiator - Attorney and Negotiator
5+ Required: Negotiating Master aAgreements with Pension Plans and Investment Advisors. Vice President (VP) to Director level: Candidates with 7 + years of negotiating experience or more will be considered. JD preferred but not required. Salary Up to: $200,000


Hedge Fund Compliance Officer
Located in New York. Manage, implement and maintain compliance program. Reports directly to the General Counsel/Chief Compliance Officer. Responsibilities include: Design new compliance initiatives as Regulations, Legal, Compliance and business requirements evolve. Salary: $120,000.

Paralegal - Investment Management Requires 3+ years working for a Mutual Fund Company, 7-10 years total work experience, knowledge and experience with the Investment Advisers Act of 1940 and Securities Act of 1933. Experience with ETFs is preferred. Compensation: Up to $75,000 with up to 20% bonus potential. Near Washington DC and relocation reimbursement is available.

These openings may be seen at the Rosenthal Recruiting Job Board.

Please note that other active openings are not posted, one is for Broker-Dealer Registration Compliance Officer and another is Options Market Making Compliance. Both jobs located in New Jersey. For the Registration Compliance Officer, the base salary is $75,000 + bonus Requires: FINRA CRD filings, U-4, U-5., Web CRD. Options Market Making can pay up to $200,000 per year.
-------------

Thanks for reading and reviewing this. Please call anytime or send me an email. After, you send a resume we can discuss roles, companies and anything else you would be interested in when considering a new position.

Sincerely,

Stuart Rosenthal
Stuart@RosenthalRecruiting.com
(973) 826-0537

SEC investigative tests that compliance personnel should employ —the George Motz case

On May 11, 2011, a sad chapter closed in the life of one George M Motz, once a highly-compensated investment executive but currently a resident of the Federal Correctional Institution in Otisville, NY. On that day, the US Securities and Exchange Commission (SEC) issued a notice announcing that it had accepted an offer of settlement from Motz which would heap administrative punishments on top of the eight-year prison term that had relegated him to tenancy at Otisville.

Motz's sentencing in 2010 rated a blurb in the online edition of a business magazine, but the coda regarding his latest SEC penalties has not seemed to merit a mention in the press.

The matter of George Motz and his sometime firm, Melhado, Flynn & Associates, Inc., once a registered brokerdealer and investment adviser, is an object lesson for investment adviser compliance professionals and the firms they shepherd. The saga has much to tell us about the importance of good compliance controls over a firm's portfolio management processes and, in particular, about the wisdom of an impartial and unimpeachable trade allocation policy.

Cherry-picking

Motz drew the ire of the SEC for the practice of "cherry-picking"; that is, saving the choicest trades for proprietary or otherwise-favored accounts, while foisting the clunkers off on the accounts of the less fortunate. The SEC notice averred that "Motz accomplished this cherry-picking by purchasing securities toward the beginning of the trading day but waiting until later in the day – after he saw whether the securities appreciated in value – to allocate the securities."

Accounts differ slightly on when Motz became a fraud. The SEC says that the cherry-picking was underway by "at least" 2001, while the Department of Justice mentions November 2000. In the fall of 2003, Melhado, Flynn was examined by the Commission. Motz and an accomplice were apparently able to postpone his inevitable collision with justice through some chicanery. They "altered certain order tickets relating to the cherry-picked trades in order to try to conceal his fraudulent practices from" the authorities (prosecutors and regulators would later add violations of the books and records requirement of the Investment Advisers Act of 1940 to the litany of Motz's offenses). Motz was issued an "Order Instituting Proceedings" on February 26, 2007.

The above is Page 1 of 4 of an article titled “SEC investigative tests that compliance personnel should employ — the George Motz case”



You may access the above complete article at https://www.complinet.com – or by contacting the author or Stuart@RosenthalRecruiting.com to receive a PDF version.

The author is:
Philip Thomas - the managing director, Asia, of CompliGlobe Limited, the regulatory advisory provider to a range of financial services firms and foreign private issuers. He is based in Hong Kong. At CompliGlobe, Philip focuses on the creation and maintenance of compliance programs and systems at market participants in Europe, Asia and the US. He also assists overseas companies in addressing their
US filing requirements, and in negotiating ISDA agreements and managing the risk associated with OTC derivatives. Philip is a securities and regulatory attorney with both in house and law firm experience. He has also served as the chief compliance officer to several money management concerns.

Prime Brokerage Attorney, Compliance Manager & Top Law Firm Regulatory Attorney in NY

A few openings are active, in Manhattan and here is a brief summary:

Prime Brokerage Attorney. Requires a JD with knowledge of contracts for Prime Brokerage clients and Commission Sharing Agreements.The Company is a leading US based Broker-Dealer and Investment Bank. If you have worked with prime brokerage contracts, and would be interested please reply with a resume in Word format. Then we can discuss the Company, your ideal position and compensation.


Compliance Manager role overseeing a staff that includes oversight of Registration, Web CRD etc.

Top Law Firm. Regulatory Attorney to work with its technology practice and the corporate department. The ideal candidate will have three or more years working at the S.E.C. or FINRA in Washington in Investment Management or Trading and Markets - as well as experience working at a large law firm.

Rosenthal Recruiting has posted job opportunities and we handle some opportunities that are not posted such as those referenced above. You can follow Rosenthal Recruiting at LinkedIn, the Ladders (may require login or fee) or twitter to receive notification on jobs and other suggestions. These are ways to be informed of opportunities and when Rosenthal Recruiting receives a resume we identify new openings a candidate would be interested in.

One current position has been removed from the Ladders because the base salary target is now $85,000 - less than the 100K required. Hedge Fund Compliance Officer may be viewed at the Rosenthal Recruiting Job Board. Responsibilities: Manage, implement and maintain the Compliance program for a S.E.C. Registered Hedge Fund. The Fund Company has $3 billion Asset Under Management (AUM). The candidate must have 2 + years of experience gained from a Hedge Fund or the Alternative Investment group of an Institutional Investment Bank.

In addition to the follow feature at LinkedIn and twitter please Subscribe to an RSS Feed for the Rosenthal Recruiting Job Board and view Rosenthal Recruiting on Facebook without logging in – to make a comment registration may be required.

Outside the NY Metro area, a Paralegal in-house opening. – office in the Potomac region - near Washington DC – Baltimore. A very successful, cutting edge Money Manager. Paralegal base salary at $75,000 + 20% Bonus
Review Job Description here.

This Job was posted on Bill Singer's BrokeAndBroker.com Blog in Bill’s piece titled ‘Customer Claims Merrill Lynch Nickel-and-Dimed a Two-Bit BZ Order’ on May 10 Full Job description is at the bottom at: http://www.BrokeandBroker.com/875/merrill-lynch-bz-limit.

To apply for a Job and get a quick response, please: review the Job Description. Then E-mail your resume and cover letter to Stuart@RosenthalRecruiting.com or call (973) 826-0537 for more information.