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 

@SuzanneBarlyn

#SEC finally announces enforcement director's departure weeks after initial reports: http://www.reuters.com/article/2013/01/09/secd-khuzami-idUSL1E9C95ZI20130109 … @SarahNLynch #Khuzami @Reuters

Did you know you can have a free trial to 

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, 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.

  See the Rosenthal Recruiting LinkedIn profile

 

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

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. Responsibilities • 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

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.