Stuart @skr999active 1 week, 5 days ago
E: [email protected]
Managing Director of Rosenthal Recruiting.
As a regulator, I served as a Compliance Examiner with the National Association of Securities Dealers (NASD), now the Financial Industry Regulatory Authority (FINRA).
Rosenthal Recruiting places financial services and legal candidates. Primary focus is Compliance Risk and Regulatory. Placements and clients include global NYSE-listed corporations, investment banks, global-to-start-up FINRA member broker-dealers, hedge funds, registered investment advisors, AmLaw 100, boutique law firms and rating agencies.
My industry employment included Merrill Lynch and Smith Barney. At Jefferies & Company, I worked for ten years in the Compliance and Risk Management Department, and later as Compliance Officer for Soleil Securities Corporation.
Placements and clients include NYSE-listed corporations, investment banks, hedge funds, AmLaw 100 and boutique law firms, global-to-start-up broker-dealers, registered investment advisors and ratings agencies.
Successful placements in 2008 and 2009 include:
The Rosenthal Consulting Group dba Rosenthal Recruiting
The Rosenthal Consulting Group LLC dba Rosenthal Recruiting places legal and financial services candidates. Placements and clients include global public NYSE-listed corporations, investment banks, hedge funds, AmLaw 100, 200 and boutique law firms, global-to-start-up broker-dealers, registered investment advisors and nationally recognized statistical rating organizations.
Compliance, Risk Management, Code of Ethics, Employee Personal Trading expert, Accountants, Audit, Legal at all levels, Investment Banking, Institutional Sales, Chinese Wall, Research, Policies and Procedures, Equity Trading, Equity and Credit Derivatives, Fixed Income, AML, Hedge Funds, Registered Investment Advisor, Employment and Media and Entertainment Law, Ratings Agency
Richard Stockton College of New Jersey