Stuart Rosenthal

Managing Partner
  • @skr999
  • Member Since:
  • Last: active 2 years, 1 month ago

Basic Information

About Me

E: [email protected]
P: (973) 826-0537

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:
·Blue Sky Attorney–Manhattan-based law firm
·Paralegal-European-based investment bank
·Compliance Director/Attorney–London-based leader in online trading
·VP, Controller, CPA, Financial Reporting
·Anti-Money Laundering-full-service investment firm
·VP, Monitoring and Surveillance-ratings agency
·Compliance Officer, Surveillance–boutique investment bank
·Compliance Manager-control room NY money center bank
·Senior Equity Trading Compliance–global investment bank
·Senior HR Generalist-Investment bank
· VP,Monitoring and Controls Testing – European-based investment bank

Professional Information


The Rosenthal Consulting Group dba Rosenthal Recruiting


Managing Partner


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

Time Period

2009-02 – Present


School Name

Richard Stockton College of New Jersey


Business, Marketing, Finance, Accounting, Sociology

Time Period

1981 – 1985