The financial services industry is among the heaviest regulated industries in the world. Firms dealing with investments are subject to stringent regulatory requirements, requirements that have recently become even more exacting. Consequently, millions of dollars are spent each year to ensure that financial services firms have knowledgeable, experienced professionals in place to guide them through the regulatory maze and to help safeguard them against potential liability. In today's business environment, it is vitally important to select an executive search firm with a proven record of placing the most talented, most qualified legal and compliance professionals. Since the firm's inception, Strategic Alliance Group has assisted its client firms in identifying and hiring the key legal and compliance professionals the industry demands.
Areas of specialization include the
following:
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| Compliance Specializing in senior, mid-level, and junior positions
in the following areas:
- Advertising & Sales Literature Review
- Anti-Money Laundering
- Audit
- Banking
- Blue Sky
- Branch Compliance
- Capital Markets
- Chinese Wall/Control Room
- Clearing/Operations
- Customer Complaints/Sales Practices
- Derivatives
- Employee Trading
- ERISA
- Futures/Commodities/Options
- Hedge Funds
- Information Technology Compliance
- Institutional
- Mutual Funds
- Prime Brokerage
- Private Banking
- Proprietary Trading
- Registration & Licensing
- Regulatory Compliance
- Retail
- Risk Management
- Sarbanes-Oxley/Corporate
- Governance
- Surveillance
- Trading Desk
- Training/Continuing Education
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Legal Specializing in law firm and in-house placements for
the following positions:
- General Counsel
- Deputy General Counsel
- Associate General Counsel
- Senior Counsel
- Counsel
- Chief Counsel
- Deputy Chief Counsel
- Staff Attorney
- Staff Counsel
- Senior Legal Counsel
- Legal Counsel
- ‘40 Acts Partner/Associate
- ‘33 Act Partner/Associate
- ‘34 Act Partner/Associate
- Securities Litigation Partner/Associate
- M & A Partner/Associate
- Regulatory Attorney
- Corporate Finance Partner/Associate
- Of Counsel
- Special Counsel
- Paralegal
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