Compliance Officers

Compliance Officers

All you must do is pick up a recent Bond Buyer and you will see compliance issues are everywhere. Where firms used to have one or two compliance officers, now they are having department of compliance professionals, and regretfully the need is not decreasing, but increasing.

Compliance specialists are in demand; the day of the generalist compliance officer is gone for good.  Subcontracting with professionals outside of your firm are becoming a thing of the past as well.  New opportunities are available if you are willing to relocate, usually.

The SEC as well as the MSRB are looking at every possible infraction to sanction and to exact penalties and fees from both traditional Investment Banks, and now Municipal Financial Advisory firms as well.

The compliance officers that we are privileged to represent are the best in the industry.  They are either serving currently as CCO, Deputy CCO or compliance officer – and most importantly are looking for their next role.

They understand the need of the compliance officer in today’s hotly regulated environment.  Compliance Officers know their value, and as such want to chat with a recruiter that understands their role as well.

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