About Rosenthal Recruiting

ROSENTHAL RECRUITING places legal and financial services candidates.

Stuart Rosenthal, Managing Director of Rosenthal Recruiting, has a financial services career that spans more than two decades. As a regulator, he served as a Compliance Examiner with the National Association of Securities Dealers (NASD), now FINRA (Financial Industry Regulatory Authority). Rosenthal’s industry employment has included Merrill Lynch and Smith Barney. At Jefferies & Company, Inc., Rosenthal worked in the Compliance and Risk Management Department for 10 years, where he helped to implement and later monitor the Global Analyst Research Settlement. Subsequently, Rosenthal became a Compliance Officer for Soleil Securities Corporation, where he supervised broker-dealer research, sales and trading services offered to Institutional Investors such as hedge funds and mutual funds.

With more than 20 years of financial services experience, Rosenthal is well known in the Wall Street community, bringing knowledge of market fundamentals, regulation, negotiation skills and, above all, integrity to the relationships he has developed with his clients and candidates.

Placements and clients include (see below for details): 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 (aka ratings agencies).

 

Successful placements 2012 – 2019 include:

  • Chief Compliance Officer (CCO) – Registered Investment Adviser (RIA) – Boston
  • Chief Financial Officer (CFO) – Investment Bank – New York
  • Compliance & Operational Risk Associate – FINRA Member, RIA
  • Sr. Compliance Officer – Registered Investment Advisor  – New Jersey (NJ) – $120,000
  • Bank Holding Company – Dodd – Frank Compliance Officer – New Jersey – $80,000
  • Compliance Manager – Private Bank FINRA Member Wealth Management – New York – $170,000
  • Chief Compliance Officer (CCO) – Global Investment Bank New York, NY – $225,000
  • Compliance Officer – Northern VA. DC. Washington metro area – $65,000
  • Chief Compliance Officer (CCO) – Mumbai, India based Financial Services Co. FINRA Member Start Up New York, NY – $160,000
  • Branch Examiner – FINRA Member Broker-Dealer – New York, NY – $70,000
  • Chief Compliance Officer (CCO) – Registered Investment Adviser New York, NY – $155,000
  • Branch Examiner – FINRA Member Broker Dealer (B/D) New York, NY – $58,000
  • Interim Chief Compliance Officer (CCO) – Chicago Stock Exchange (CSX) Proprietary Trading Shop New York, NY
  • Director, Corporate Compliance, Manager and Advertising Review Principal, Columbus, OH – $135,000
  • Associate Counsel, Mutual Fund Adviser, Washington, DC – $100,000
  • Corporate Counsel, Legal Department Clearing and Transfer Agency, Jersey City, NJ – $210,000

 

Successful placements in 2011 include:

  • Chief Compliance Officer (CCO) – Boston-area – S.E.C. Registered Investment Advisor (RIA) and FINRA member Broker Dealer (B/D)- $240,000
  • Mutual Fund Attorney – East Coast Mutual Fund Industry leader – $125,000
  • Regulatory Attorney – position in New Jersey (NJ) for FINRA B/D – $200,000+
  • Manager of “Central Compliance” – overseeing AML, Surveillance, Registration – US-based Global Institutional Broker-Dealer and Investment Bank with many offices – $160,000
  • Chief Compliance Officer – NY-based Boutique Broker-Dealer – $140,000
  • Anti-Money Laundering (AML) Analyst – NY National Retail-based Broker-Dealer – $70,000

 

Successful placements 2008 – 2010 include:

  • Commodities Compliance Officer, SVP – Money Center Bank Broker-Dealer
  • Blue Sky Attorney – 100+ year old Manhattan-based law firm with offices in other major cities
  • Anti-Money Laundering Officer – investment firm with 80+ offices in N. and S. America
  • SAP Accounting – ERP FI/GL
  • Compliance Director/Attorney – US Compliance Head of London-based leader in online trading
  • Vice President, Controller, CPA, Audit and Financial Reporting – NY-based investment bank
  • Vice President, Monitoring and Surveillance – nationally recognized statistical rating organization (aka ratings agency)
  • Compliance Officer, Surveillance – NY-based boutique investment bank
  • Compliance Manager – control room of NY money center bank nroker-dealer subsidiary
  • Senior Equity Trading Compliance Manager – global investment bank
  • Senior HR Generalist – global NY-based investment bank
  • Paralegal – Entry level position with European-based prestigious global investment bank
  • Vice President, Monitoring and Controls Testing – European-based global investment bank


Consulting projects and project placements in the history of Rosenthal Recruiting include:

  • Independent Anti-Money Laundering (AML) Annual Audit
  • Long-term Chief Compliance Officer (CCO) for a start-up Chicago Stock Exchange (CSX) Member
  • Long-term CCO for a start-up FINRA Member for Chile Bank Parent
  • Long-term Compliance clean-up of files for a maternity leave at FINRA Member REIT