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.
Compensation:
• 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: http://www.RosenthalRecruiting.com

If you request it or sign up  - that's how to receive future Rosenthal Recruiting messages to your in-box.

We always look forward to speaking about career opportunities, locations or issues that you are interested in - as well as new trends that are expected.

In 2016-17 with Rosenthal Recruiting - a particular area we will address is: why companies use contractors and why candidates choose to work on contract... Stay tuned here or perhaps follow via Twitter.

Rosenthal Recruiting - Oct. 30 2015

One thing that many Recruiting / Social Media / CAREER Coaches all suggest is joining Groups at LinkedIn that have Members you seek to associate with.

One now with just under 7000 members is a link as one of the first things in this update.
 
Created November 2007 - Purpose:  Reach other Broker-Dealer and Investment Advisor Compliance Officers. Referrals from Group members. View profiles, News and Jobs posted by Group members.

Informal Rosenthal Recruiting Summary
1. Dallas, TX ▪ Compliance Analyst. Investment Company Act (1940 Act) work experience required to gain an interview.
2. BROOKLYN, NY ▪ Total Rewards Compensation, Benefits Director; Relocation w/ job offer.

3. Cleveland, OH ▪ Business Analyst (BA) SOFTWARE SAP, VISIO experience strongly preferred.
3. Morris County NJ ▪ Health Care, Medical Regulatory. Expert Knowledge of medical devices a must.
4. Chicago, IL ▪ Broker-Dealer Branch Examiner
5. New York, NY ▪ OP RISK - Equity position. Role recently vacated and at to the Director level.
6. Jersey City, NJ ▪ Broker-Dealer Compliance SERIES 24, REQUIRED
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Most above job descriptions are on website, all are available via e-mail.
_________________________________
Stuart Rosenthal
The Rosenthal Consulting Group
Stuart@RosenthalRecruiting.com
(973) 826-0537
www.RosenthalRecruiting.com

Rosenthal Recruiting – India, Asia, NY, DC

Would or did you read an email, Tweet or article with this subject "Govt floats ad for new Sebi chief*."

We did.

Rosenthal Recruiting  - receives many emails noting continued interest in career opportunities** – i.e. new positions primarily in the U.S. though also from those seeking a job in some other locations - that we're glad to read. We have set up interviews for clients located in India, and US clients in Singapore, Hong Kong offices.

If you sign up, we can send you occasional email - - if you act soon we will send a newsletter "Report" about a Washington, DC Compliance Officer position ASAP. We have sent it to a small number of people vs.​ entire Rosenthal Recruiting list ​recently​. Of course if you have not seen it may sign up to receive the Rosenthal Recruiting 'newsletter' to learn about Events as well as Recruiting opportunities.

​We all get so much email and this week - we've seen and observed some real news as well as the Dog Day photos yesterday. This past week ​we saw some Trump, Bank, Stock Index and Bernie Sanders on screen that we liked or just read. It is best to speak and looking forward to doing so again or for the very first time soon.

If you request – we will send the Preview of our next “newsletter” that will be chock full of social media links perhaps.

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*Excerpt about SEBI from Mumbai:
The selection process for the new chief of market regulator. The finance ministry has put out an advertisement on its website inviting applications for the post. The government has also allowed individuals from the private sector to apply for the post. Recently, the government has appointed two officials from the private sector in the public sector banks. The candidates have to apply for the post by October this year.

This was reported via John Lothian via a Tweet link to business-standard.com Full article link. We did ​have the article 'pinned'.​

**Link to Spotify Playlist “Career Opportunities”

You may see LinkedIn information articles, Tweets as posted at http://rosenthalrecruiting.com/links. This Page is one way to catch up without registration, signing on or "Tweeting" to do so, though e-mail is a primary way to communicate in 2015. ​This Opportunities Page at RosenthalRecruiting.com links to frequent modified openings.  

You’re welcome though not expected to follow via Twitter and Instagram for quicker updates.

Of course if you have not seen it may sign up to receive the Rosenthal Recruiting 'newsletter' to learn about Events as well as Recruiting opportunities.

Audit Supervisor - is highlighted - with a top tier U.S. CPA Firm. Other roles I can now discuss and submit include an office in Nassau County on the North Shore of Long Island.

Internal Controls and Audit Supervisor both based in Midtown New York near Rockefeller Center. Full written job descriptions available promptly on request for all.

Audit Supervisor

Category Accounting Position Description Be a contributing part of a team that earns the confidence and respect of clients across a diverse spectrum of industries and professions. In this highly responsible role, Auditor supervise field-work for client audits and the activities of 1-5 junior accountants. Reporting to the Audit Manager, you will examine financial records; prepare reports of financial positions; and review results of operations, compliance reports, and internal control reports. Your input on improving client’s financial position and operating procedures is encouraged. In this role, you will also prepare and review corporate, partnership, individual, and trust tax returns. To succeed in this position, considered candidates must demonstrate an understanding of the scope and approach to audits of businesses in various industries, among them Real Estate professional services Pension funds and Benefit plans Non-profits Manufacturing Requirements Undergraduate or graduate degree in Accounting CPA 5+ years at a public accounting firm, or comparable industry experience Excellent writing and verbal communication skills Company: is nationally respected top ranked CPA and advisory firm. EEO Employer.  Easy to reply, forward or call. I can discuss other Recruiting, and professional events. _________________________________ Stuart Rosenthal The Rosenthal Consulting Group LLC Stuart@RosenthalRecruiting.com 973-826-0537 http://www.RosenthalRecruiting.com

Youthire.com is devoted to helping young adults find opportunities through odd-jobs by local area homeowners. In meantime you can click though links provided via Twitter and more, no Tweeting or following required to view Tweets, though Facebook and this Blog can all be worthwhile. We have not posted here of late sharing links at places such as Pinterest as well others major social media websites. This Blog entry mirrors what is at Facebook where the Youhire founder Tom Cerna noted on 10/9/14: We're working on raising money thru a Kickstarter campaign. Anyone who believes that a site which allows homeowners to post odd-jobs for young adults to perform should visit the site at www.youthire.com. Any contributions to our Kickstarter campaign is greatly appreciated. The campaign runs until Oct. 27, 2014.

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