Four pillars. Four regulatory maps. One discipline.
We specialize in compliance, legal, and regulatory leadership across the four financial-services pillars where we have the deepest talent maps and the strongest database coverage.
Traditional Banking
Community banks, regional banks, credit unions, consumer lending, and mortgage. CCO, BSA Officer, and head-of-compliance roles for federally regulated depository institutions.
Investment & Asset Management
RIAs, hedge funds, private equity, private credit, family offices. Compliance and legal leadership for the buy side, with deep familiarity in 206(4)-7 program management, ADV drafting, and the SEC Marketing Rule.
Brokerage & Investment Banking
Broker-dealers, investment banks, swaps and commodities dealers, and prime brokerage. Compliance leadership steeped in FINRA, supervisory frameworks, anti-fraud, and market-conduct rules.
Payments, Fintech & Emerging Assets
Payments platforms, MSBs, neobanks, crypto exchanges and custodians, and digital-asset issuers. Compliance and legal leadership comfortable building programs from scratch in fast-moving regulatory environments.
Hiring for a compliance leader? Let's talk.
Twenty-minute intake call. We'll learn the role, share how we'd approach it, and tell you whether we're the right fit.