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MLA has been retained by Perella Weinberg Partners(“Firm”) to conduct a search for a Head of Broker-Dealer Compliance.
COMPANY: The Firm is a global financial services firm providing corporate advisory and asset management services to clients around the world. The Firm’s corporate advisory business advises its clients on mergers and acquisitions, financial restructuring, private placements and other strategic transactions. The Firm’s asset management business comprises institutional asset management and private equity investing.
POSITION OVERVIEW: The head of broker-dealer compliance will report to the Firm’s global chief compliance officer. He or she will be responsible for ensuring that the compliance program for the Firm’s affiliated U.S. broker-dealers is in accordance with all applicable laws and regulations. He or she will partner with and advise all areas of the broker-dealers’ businesses including the corporate advisory, restructuring, research, sales and trading and private placement businesses.
REQUIREMENTS: Bachelor’s degree or higher. J.D. or M.B.A. would be preferred. A minimum of 8-10 years of broker-dealer experience with a preference for equity research, and sales and trading oversight. FINRA Series 7, 24, and 63 licenses are required. Either possesses or be willing to obtain, a Series 79 license. Comprehensive understanding of the rules and regulations impacting a U.S. broker-dealer. Demonstrated track record of success in executing regulatory compliance with a U.S. broker-dealer.
JOB TITLE: Head of Broker-Dealer Compliance
RELOCATION: Yes. National search
COMPENSATION: Competitive and commensurate with experience, including a base salary and bonus.
Founded in 1982, Major, Lindsey & Africa (MLA) is the world's largest and most experienced legal search firm. Combining local market knowledge and a global recruiting network, MLA has earned recognition for its track record of successful General Counsel, Corporate Counsel, Partner, Associate and Law Firm Management placements. MLA also provides law firms and companies with highly-specialized legal professionals on project, interim and temporary-to-permanent hire basis. Committed to providing full service in response to the talent needs of its clients, MLA also provides executive search services through its affiliate, Allegis Partners. With offices throughout the U.S., Hong Kong, London and Tokyo, MLA recruiters are dedicated to understanding and meeting client and candidate needs while maintaining the highest degree of professionalism and confidentiality. MLA considers every search a diversity search and has been committed to diversity in the law since its inception. For these reasons, MLA was voted "Best Legal Recruiter" by readers of The National Law Journal. To learn more about MLA, visit www.mlaglobal.com. To learn more about Allegis Partners, visit www.allegis-partners.com