Expertise
Compliance, Legal and Risk by business context.
No two companies are alike and thus neither are their vacancies. We understand the nuance of your search, from program maturity to investment thesis and investor base through to regulatory priorities when hiring and identifying talent.
Investment funds
Private equity, private credit, hedge funds, real assets and registered funds.
We identify compliance, legal and risk professionals aligned with your investment strategies, fund structures and investor base. We assess experience with US and cross-border regulation, SEC examinations, investor due diligence, fundraising reviews and reporting, according to the role.
SEC 2026 examination focus
- Meeting fiduciary standards of conduct
- Maintaining effective advisor compliance programs
- Preparing newly registered and never-examined advisors for SEC scrutiny
Selected focus areas; applicability depends on the firm's activities. These reports do not create new requirements.
SEC 2026 priorities ↗Broker-dealers
Institutional, retail, wealth and capital markets firms.
Relevant business-line and supervisory experience. We identify registrations, product coverage, reporting lines and the scope of personal accountability. We assess how candidates have managed supervision, surveillance and regulatory examinations across the products, customer types and trading activities relevant to your firm.
FINRA 2026 oversight focus
- Cybersecurity and cyber-enabled fraud
- GenAI governance and supervision
- AML, identity verification and suspicious activity
- Communications and retail Regulation Best Interest
- Trading surveillance and best execution
- Net capital and customer asset protection
Selected focus areas; applicability depends on the firm's activities. These reports do not create new requirements.
FINRA 2026 report ↗Registered Investment Advisors
Independent RIAs, multi-family offices and national wealth platforms.
People who can work at the firm's current stage and support its next. We clarify advisor supervision, acquisitions, resources and the balance of execution versus leadership. We assess candidates' experience integrating acquired practices, strengthening compliance oversight and supporting advisors as your client base and service offering grow.
SEC 2026 priorities for RIAs
- Adherence to fiduciary standards of conduct
- Effectiveness of advisor compliance programs
- Examinations of never-examined and recently registered advisors
Selected focus areas; applicability depends on the firm's activities. These reports do not create new requirements.
SEC 2026 priorities ↗