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Compliance, Legal & Regulatory Officers

Financial organizations are facing a constantly changing and growing body of new rules and regulations, whether it be a small asset manager, a private equity firm, or a global money center bank. The necessity to keep up with continuous changes and adapt businesses to reflect new industry practices has forced organizations to build more robust in-house legal and compliance offices. Our experience, participation, and constant dialog with industry leaders and associations keep us strategically positioned to respond thoughtfully and quickly to client needs for Compliance Officers and General Counsels.

As an industry leader in this space, Charles Sterling Group partners with firms of all sizes to evaluate and source the type of executives who can effectively find balance between the enforcement of regulation and partnering with business leaders to drive revenue and maximize profits.

  • Chief Compliance Officer

  • General Counsel

  • Trade Surveillance

  • Anti-Money Laundering/Bank Secrecy Act

  • Wealth Management Compliance

  • Fraud and Investigations

  • Chief Regulatory Officer

  • Centralized and Business Unit Controls

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