About Us

Rosenthal Recruiting specializes in placing seasoned candidates within the legal and financial services sectors.

Stuart Rosenthal, the firm’s Managing Director, brings over 20 years of experience in financial services. His career began in regulation as a Compliance Examiner with the National Association of Securities Dealers (NASD), now known as FINRA (Financial Industry Regulatory Authority). He later held roles at leading institutions including Merrill Lynch and Smith Barney.

During his decade-long tenure at Jefferies & Company, Inc., Rosenthal worked in the Compliance and Risk Management Department, where he played a key role in implementing and overseeing the Global Analyst Research Settlement. He went on to serve as a Compliance Officer at Soleil Securities Corporation, managing broker-dealer research, sales, and trading services for institutional clients such as hedge funds and mutual funds.

Widely respected across Wall Street, Rosenthal is known for his deep understanding of market dynamics, regulatory frameworks, and negotiation strategy. Above all, he is recognized for the integrity and trust he brings to every client and candidate relationship.

Rosenthal Recruiting — placing top talent with top-tier employers.

Placements and clients include 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).

Legal, Compliance and Financial placements:

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
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
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 broker-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:

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