Compliance and Legal

Continuous Changes in Regulation Create Competition Amongst Executives

Financial organizations are facing a constantly changing and growing body of new rules and regulations whether it be a small broker-dealer, a private equity firm or a global money center bank. The necessity to keep up with rapid changes and adapt businesses to reflect new industry practices and standards have forced organizations to establish more robust in-house legal and compliance offices. Charles Sterling Group understands the complexity of today’s markets and partners with firms of all sizes to evaluate and source the type of executives they need to lead the establishment or transformation of these offices of counsel.

We recognize the roles of attorneys and compliance executives have become critical to help companies find balance in protecting themselves from increased regulation while effectively partnering with business leaders to drive revenue and maximize profits. With this recent expansion, demand for leadership in this space has outpaced supply. Our experience, participation and constant dialog with industry leaders, and associations keep us strategically positioned to respond thoughtfully and quickly to identify compliance and legal professionals who can establish confidence with internal and external constituents.

Charles Sterling Group’s dedication to helping organizations attract industry leading Counsel and Compliance Officers has provided many opportunities to evaluate talent at various levels of leadership and transformative expertise. This insight is critical in assessing a candidate’s familiarity (and relationships) with regulatory bodies both domestically and internationally.

Functional Areas of Expertise:

  • Chief Compliance Officer
  • Trade Surveillance
  • Anti-Money Laundering
  • Wealth Management Compliance
  • Fraud and Investigations
  • Chief Regulatory Officer
  • General Counsel
  • Compliance, Project Management Officer
  • Assistant General Counsel, Regulatory Matters

Successful Engagements

Chief Compliance Officer, Mutual Funds, American financial services company providing investment management, asset and fund administration, fiduciary and banking services globally

Assistant General Counsel, Independent, privately held money management firm

Chief Compliance Officer, Large provider of guaranteed-renewable insurance in the United States

Chief Compliance Officer, Capital Markets, American diversified holding company providing financial services to individuals, corporations and municipalities

Chief Compliance Officer, Investment Advisor, American financial services company providing investment management, asset and fund administration, fiduciary and banking services globally

Chief Compliance Officer, Exchange-Traded Funds, American financial services company providing investment management, asset and fund administration, fiduciary and banking services globally

Director, Legal and Regulatory Analysis, One of the largest providers of guaranteed-renewable insurance in the United States

Head of Compliance and Legal, U.S., UK-based asset management firm