Feb. 2014

Seeking current interest in this brief position description. Office near Wall St. (NY) with a company that is an established FINRA member Broker-Dealer.

Senior Compliance Officer - Position who will predominantly be responsible for the coordination of regulatory examinations and inquiries, Financial Industry Regulatory Authority (FINRA) Rule 3130 annual reviews (adequacy of supervisory procedures) and helping to perform the analysis of and response to customer grievances as the need arises.
​
If this opportunity or anything else may be of interest - or not let's speak by phone on this - soon in February or March 2014.

Please call (973) 826-0537 or send an email to: Stuart@RosenthalRecruiting.com to discuss hiring,  job search, opportunities you are interested in that are listed or may be in the future. If you submit your resume - expect to receive a quick response.
_________________________________
Stuart Rosenthal
The Rosenthal Consulting Group LLC
Stuart@RosenthalRecruiting.com
973-826-0537
http://www.RosenthalRecruiting.com

‏@StuartRosentha

 

Happy New Year, We’ve inserted below a brief description of a current opening for a Branch Examiner - based in New York, NY.  Please call with any questions you may have and provide resume in WORD format.

Contact Info

Phone	(973) 826-0537
Email	Stuart@RosenthalRecruiting.com

Branch Examiner – Responsibilities include review of branch office records, completed questionnaires and branch operating procedures to ascertain compliance with Firm policies and procedures, SRO Rule and regulations.  The Branch Examination review requires the ability to conduct  one-on-one meetings/interviews with branch office management and personnel in addition to conducting the Firm’s Annual Compliance Meetings.  The Branch Examiner follows a set of modules from the Branch Examination Program.

Two years Branch Examination, Broker-Dealer compliance or regulatory experience preferred.  The position requires the individual to travel at least 60% of the time, domestically.   Effective communication skills and attention to detail desired.    

 

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What else is new?

Rock Music, Religion and Financial Convergence - to some degree?
http://www.pinterest.com/pin/33284484720137023/

​ - See Video as well as today's Bloomberg overview noting how/when Jagger/Ricards met in 1960 compares to Bitcoin TODAY.

Stuart Rosenthal, 

more available on various websites. 

Past

• Vice President at Legend Global Search, Inc.
• Compliance Officer at Soleil Securities Corporation
• Senior Compliance Manager at Jefferies & Company, Inc.

see all

Recommendations

17 people have recommended Stuart

Connections

Over 2000 'first-level' LinkedIn connections

Managing Partner

The Rosenthal Consulting Group dba Rosenthal Recruiting

February 2009 – Present 

About The Rosenthal Consulting Group

The Rosenthal Consulting Group dba ROSENTHAL RECRUITING is a recruiting and search firm with a focus on Financial 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 within your firm. We recruit highly qualified candidates from junior to executive levels with the same exceptional, personal service that is the core of our firm values. Our search team goes beyond the traditional resume accumulation models to deliver a customized, long-term staffing solution.

Led by Stuart Rosenthal, with more than twenty years of financial services experience, Rosenthal is well known in the Wall Street community, bringing a knowledge of regulation, market fundamentals, and, above all, integrity to relationships with clients and candidates.

Placements and clients include NYSE-listed Corporations, Global and Boutique Investment Banks, Broker-Dealers, Hedge Funds, Investment Advisors, Am Law 100 Law Firm.

Associate, Securities and Blue Sky Attorney with NY-based National Law Firm.
VP, Controller, CPA, Audit and Financial Reporting
AML Officer - full-service investment firm
Monitoring and Surveillance - Ratings Agency
Compliance Officer, Surveillance – NY-based Investment Bank
Compliance Manager - Control Room

Services

Rosenthal Recruiting: Long-Term staffing solutions.

ROSENTHAL RECRUITING provides company Compliance, Legal, Internal Audit and...

• 14 Recommendations Read comments and click on Profiles

Publications

• 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

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
http://www.brokeandbroker.com/sidebar/ 

Now you can listen and watch 

• Is Self Regulation A Dinosaur On Wall Street? - Bill speak to Martin Kaplan, Esq,

• Is Arbitration on Wall Street a Rigged Game - Brian Carlis, Esq.
  
  
• Is The US The Only Sheriff In Town? with Ron Filler, Esq.
  
  
• Are Human Beings Obsolete on Wall Street? - Shah Gilani
  
  
• Whistleblowing On Wall Street with Aegis Frumento, Esq.
  
  

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. http://www.complianceintel.com/Article/3139502/Private-Advisers-Slow-To-Hire-CCOs.html

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