For candidates
Your next career move.
From Analyst to C-Suite leadership we've placed teams across the regulatory environment; check out our open searches below.
Understanding
We explain why an opportunity fits, what remains uncertain and what each step involves.
Discretion
Your details and resume are never shared with anyone without your expressed permission.
Respect
We protect your time, give useful feedback and keep you updated when circumstances change.
Vacancies
Current mandates.
Many searches are confidential, so firm names are withheld. If a role interests you, please enquire below and we can discuss further over the phone.
Funds · Compliance
Chief Compliance Officer
Private credit manager, ~$8bn AUM
Enquire →First dedicated CCO hire. Own the Advisers Act program, SEC exam readiness and marketing rule oversight as the firm launches its next flagship fund.
New York, NY
Funds · Legal
Associate General Counsel, Fund Formation
Multi-strategy hedge fund
Enquire →Partner with the GC on fund documents, side letters and investor negotiations across onshore and offshore vehicles.
Greenwich, CT
Broker-Dealers · Compliance
Director, Supervisory Controls
Institutional broker-dealer
Enquire →Lead FINRA Rule 3110/3120 testing and supervisory procedures across equities and fixed income desks. Series 24 required.
Chicago, IL
Broker-Dealers · Risk
AML Officer
Retail and wealth broker-dealer
Enquire →Own the AML program, surveillance tuning and SAR decisioning with a small team of analysts.
Charlotte, NC (hybrid)
RIAs · Compliance
Compliance Manager
Fast-growing RIA, $15bn AUM
Enquire →Support integration of acquired advisory practices, code of ethics monitoring and Form ADV updates.
Boston, MA
RIAs · Risk
Head of Operational Risk
National wealth management platform
Enquire →Build the operational risk framework, vendor oversight and incident reporting as the firm scales across 40 offices.
Remote, US
Not actively looking?
Many of our best conversations start that way. Get in touch for a confidential discussion about the market and your priorities.