Regulatory

Regulatory

Larson Maddox: Your Regulatory Recruitment Talent partner

At Larson Maddox, our top-performing team of specialists are experts in sourcing and recruiting the best-in-class regulatory professionals, partnering with clients to meet the booming talent demand. In today's rapidly evolving regulatory landscape, having the right talent in place is essential for navigating challenges and preparing for the future.

The Larson Maddox team delivers business-nuanced regulatory professionals, and are dedicated to supporting the specific industries they service including Financial Services, Life Sciences, Technology, Supply Chain, Clean Energy and more.

Through our permanent, contract, and multi-hire service offerings, we harness our far-ranging network to secure regulatory talent with speed, accuracy, and international reach.

Alongside our bespoke talent recruitment solutions, we partner with key industry associations and provide decision-makers with exclusive market insights, to keep you up to speed on the ever-evolving changes affecting the regulatory landscape today. Whether you’re interested in recruiting regulatory talent or you’re a regulatory professional looking for a new job and challenge, the Larson Maddox regulatory recruitment team connects exceptional talent to industry-leading clients.

If you're a regulatory professional, please register your CV and get discovered for all relevant roles.

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If you're a client looking for the best regulatory talent, please Register your vacancy or Request a call back.

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rBenefits of working with Larson Maddox's Regulatory team

We are a specialist regulatory talent partner. Among the many benefits of working with Larson Maddox's global team are:

Experience

We are a leading talent partner in the Regulatory space.

Network

Covering Compliance, Operations and In-House Counsel, we help clients navigate the ever-evolving regulatory landscapes and provide them with the very best, in-demand professionals.

Knowledge

Our award-winning talent specialists offer bespoke, tailored guidance on the latest hiring trends and industry news to help you achieve your goals.​

At Larson Maddox, we believe in fostering long-term partnerships based on trust, integrity, and mutual success. Our regulatory recruiters strive to provide personalized solutions tailored to your specific requirements, offering flexible options to accommodate your hiring preferences. Whether you need to fill critical positions quickly or are seeking strategic regulatory talent acquisition solutions, we have the resources and expertise to deliver results. Submit your vacancy to us today.

Take the first step towards overcoming your talent shortage today by completing the form. Our regulatory recruitment team looks forward to speaking with you to explore how we can partner with your organization to meet your regulatory recruitment needs efficiently and effectively.

Request a call back from the Regulatory Hiring team

Regulatory Jobs

Ethics and Compliance Specialist

A well established Utilities company is looking to add on a Ethics and Compliance specialist to their Ethics and Compliance investigation team. This position will engage with different departments to foster trust, mitigate risks, uphold ethical business practices, develop policies and procedures, conduct training, and facilitate communication on ethics and compliance matters. Responsibilities Assisting and conducting investigations prompted by reported concerns and complaints from both internal and external sources Conducting timely and intricate investigations into irregularities, fraud, corruption, or other breaches of conduct, policies, or laws Supervising the storage and upkeep of investigation case data as per the established framework Contributing to reports on investigation outcomes and providing regular updates to leadership Coordinating with Legal, Assurance, and other departments to ensure comprehension of relevant laws, regulations, policies, and risk Supporting the establishment and expansion of the Ethics & Compliance Investigations program Assisting in the implementation and ongoing enhancement of day-to-day Investigations initiatives Qualifications 5+ years of direct experience in compliance & ethics, conduct and/or management of investigations or similar expertise. Bachelors in Business Management, Criminal Justice, Law, Finance, Accounting, Economics or related discipline is required Benefits Flexible remote schedule Generous PTO Growth and developmental opportunities Medical, Vision, Dental, and 401k matching

US$85000 - US$95000 per annum
Akron
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BSA Compliance Officer

A bank in Oklahoma is looking to add a BSA Compliance Officer to their team! While reporting to the CFO, you will be responsible for ensuring that requirements of regulatory laws, Bank Secrecy Act (BSA) and Community Reinvestment Act (CRA) are being integrated in the bank's policies and procedures. This position will sit hybrid 3 days in Lawton, OK. Responsibilities: Stay abreast of all compliance obligations mandated by law, regulation, or industry standards. Develop, execute, and oversee the Bank's Compliance Management Program to address its compliance duties comprehensively. Supervise and facilitate training for staff within the Compliance Department. Oversee a team of 10 direct reports. Fulfill the role of the Bank's BSA Officer, encompassing the review of reports and correspondence. Act as a pivotal member of the Compliance and CRA Committee, assuming leadership roles and primary reporting responsibilities. Spearhead efforts to ensure compliance with the Community Reinvestment Act. Investigate and oversee the resolution of compliance inquiries, concerns, or complaints received from bank personnel, customers, regulatory bodies Coordinate and support regulatory examinations, ensuring thorough follow-up. Review and submit Suspicious Activity Reports (SARs) and compile the SAR Board Report. Enforce adherence to BSA/CRA/OFAC Policies to mitigate risks and potential losses for the bank. Oversee the completion of the Compliance Monitoring Program to minimize exposure. Qualifications: Bachelors degree 3+ years within Compliance at a Financial Services institution 1-2 years of leadership experience Strong understanding of BSA/AML and CRA rules and regulations required CAMS is a plus

Up to US$100000 per annum
Lawton
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Compliance Coordinator

Our client is a top investment managment firm with over $20 billion in assets, over 1,500 employes across their global offices, and diversified asset management. Their team works as a unit, valuing every employee's value and they have created a strong company culture. We have partnered with this prestedious firm to find a Compliance Coordinator with 1-3 years of experince working for broker dealer or similar financial services firm in their compliance department. You will be tasked with on boarding new hires and Code of Ethics procedures. Qualifications: 1-3 years of compliance expereince Understanding and expereince with handling personal trading and Code of Ethics Detail oriented Ability to adapt to a fast paced environment and self-motivated Solid collaberation skills Bachelor's degree Star Compliance a plus Responsibilities: Review and file new hire documents and maintain new hire lists Ensure Compliance onboarding requirements are completed prior to new hire's first day Detect violations of all company policies and procedure by maintaining internal controls Manage broker statement collections processes and statements feeds Handle ad hoc projects and give administrative support for the Compliance team This is a hybrid role in our client's New York office located in Manhattan. Salary is dependant upon expereince, and their range currently stands at $65k-$90k with a bonus package and competitive benefits.

US$65000 - US$90000 per annum
New York
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Senior Compliance Officer

A lead Financial Services company based in Kansas City, MO is seeking a highly skilled and experienced Director of Compliance to oversee and manage the firm's compliance functions. The ideal candidate will be well-versed in Risk Assessments, Compliance testing, and have strong leadership experience. Responsibilities: Assist with evaluating, maintaining, and managing the compliance program Evaluate and manage risk assessment methodology, annual assessment, and control-risk matrix Work with departments to modify and implement companies policies and procedures Monitor and ensure compliance with applicable banking laws, regulations and guidelines and stay up to date with changing regulations Establish monitoring processes or tools to asses compliance with internal policies and external regulations Serve as a resource and review marketing materials for compliance officers in RIA firms Lead ongoing compliance trainings to educate employees Maintain compliance with BSA/AML/OFAC-related laws and regulations Develop, implement, and monitor a strategic information security program Qualifications: Bachelor's degree 5+ years of compliance experience within a trust and custody bank setting Certified Fiduciary and Investment Risk Specialist (CFIRS) or Certified Regulatory Compliance Manager (CRCM)

Negotiable
Kansas City
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Head of Swap Dealer, Volcker & IB Regulatory Governance

THE ROLE: Expertise in CFTC Swap Dealer and SEC Security-Based Swap Dealer rules. Leading a global team that oversees regulatory requirements and control frameworks. Has experience providing advisory guidance for complex regulations, conducting risk assessments, testing and regulatory implementation. RESPONSIBLITIES: Lead the Swap Dealer, Volcker and IB Bank Branch Regulatory Governance team within IB Compliance and Operational Risk Control (IB C&ORC) Provide advisory guidance and support to firm-wide stakeholders on queries regarding rule interpretation, product classification, and client eligibility, etc. Provide the business with controls, tools, training, frameworks, information and insights required to manage risk Ensure risk frameworks are well-designed and operating effectively Plan, coordinate and execute annual testing for the CFTC Swap Dealer, Security-Based Swap Dealer, Volcker, and IB Bank Branch Draft and issue impactful reports setting out findings, conclusions, ratings and remedial actions Manage the reporting of regulatory trends, non-financial risk issues, and testing results, to Swap Dealer and Volcker governance forums Draft and implement the execution of the annual rules-based Compliance Risk Assessments Perform second line of defense monitoring of processes that impact compliance with Swap Dealer, Volcker and Banking regulations Draft IB C&ORC responses for Swap Dealer and Volcker regulatory examinations and internal audits, including driving associated remediation with relevant stakeholders Act as secretary of the Dodd-Frank Oversight Committee Draft the CFTC Swap Dealer, Security-Based Swap Dealer, and Volcker Annual Compliance reports THE TEAM: The Swap Dealer Regulatory Governance team, within Investment Bank Compliance & Operational Risk Controls (IB C&ORC) is a US-based team is responsible for conducting thematic reviews. You'll be managing a team of 20 professionals within the Swap Dealer, Volcker, and IB Bank Branch teams within IB C&ORC. YOUR EXPERTISE: Experience in Swap Dealer, Security-Based Swap Dealer, and Volcker Compliance 10+ years of experience in the financial services industry University degree in finance, economics, business administration or numerical discipline J.D., M.B.A. or other relevant advanced degree a plus Experience managing large teams across product areas

US$200000 - US$300000 per annum
New York
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Control Room / Research Compliance - Investment Bank

JOB TITLE - Control Room Compliance Officer STRUCTURE - Hybrid JOB SUMMARY: Include, but are not limited to: Provide Firm Compliance policy guidance with respect to Information Barriers and Investment Banking Conflicts of Interest. Conduct training on the Firm's policies and procedures relating to Information Barriers. Monitor securities law and related rules and regulation in this area. Maintain and update the firm's Watch and Restricted Lists. Coordinate and record Wall Crossings. Conduct day-to-day review and clearance of the firm's research publications in compliance with research compliance rules (e.g., Rules 138/139) and to identify potential conflicts of interest. Liaise where necessary with the business, Supervisory Analysts, Compliance and Legal. Conduct review of Investment Banking transactions for potential conflicts of interest and maintain the Conflicts monitoring system. Liaise where necessary with the business, Compliance and Legal. Support Investment Banking Compliance Coverage in executing the Investment Banking Compliance program, including compliance risk assessments and reporting. Chaperone interactions between the Investment Banking and the Research. Conduct firm position monitoring and respective regulatory filings pursuant to Section 13D, 13G and 16 of the Securities Act. Perform quarterly Section 13F filings, Assist in the development of the Control Rom Compliance program including, policy and technology developments. Liaise with the Surveillance team regarding potential issues with respect to Watch and Restricted List trading activities. Effectively partner, and work closely with other Compliance teams, including Bank Regulatory; Regulatory Change and Policy; Licensing and Registration; Personal Account Dealing, including Outside Business Activities and Personal Investments; and Surveillance. Liaise with Europe and Asia Control Rooms to ensure global consistency where necessary and/or desirable. Assist in the conduct of internal and regulatory inquiries and investigations, as necessary. Coordinate Compliance issue management, escalation, and reporting. Profile The US Compliance department carries out Second Line of Defense monitoring of the corporate banking, investment banking and broker-dealer activities across US operations, reporting on the compliance risks and issues to local, regional, and head office management. The staff provide the business lines with guidance on relevant laws, rules, and regulations applicable to their activities and the development of related policies, procedures, training, and controls. The department ensures compliance with US securities, banking, and anti-money laundering and sanctions regulations, oversees key processes and risks of the Know-Your-Customer program. Additionally, it provides trade and communications surveillance, and manages transversal support functions that help the department achieve its goals. Competencies: Must Haves: Bachelor's degree (JD desirable, securities licenses a plus) At least 3-5 years relevant financial industry experience in compliance for Control Room, including Research Solid understanding of securities regulation particularly information barrier / conflicts clearance practices and research rules. Ability to analyze complex situations and provide guidance in time sensitive situations. Resolve issues quickly and effectively. Ability to multi-task in a fast-paced environment. Excellent organizational, oral, and written communication skills. Attention to detail. Strong interpersonal skills. Must be team player. Strong work ethic and professionalism. Adaptability and flexibility in a changing environment.

US$11000 - US$160000 per annum
New York
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Regulatory Relations (A.D.) - Global Clearing House

JOB TITLE - Regulatory Relations Associate Director HIRING FIRM - An American post-trade financial services company providing clearing and settlement services to the financial markets LOCATION - Jersey City OR Boston REPONSIBLITIES: Assist in processing regulatory requests for information by gathering information from personnel at all levels from various departments across the Clearing Firm. Review responses for timeliness and responsiveness, track follow-up items, and facilitate the submission of responsive information to regulators. Facilitate meetings with regulatory agencies and management, including preparing key messages to present when working with regulators. Identify and analyze relevant rule filings, information requests, public meetings, and other actions of regulatory agencies, global standard setting bodies. and the U.S. Government for regulatory policy and supervisory developments. Produce summaries, reports, and other written work product for internal dissemination. Produce briefing documents and presentations for meetings, conferences and other engagements. Contribute to internal management reporting with respect to examinations, meetings, and other ad-hoc requests, as necessary. QUALIFICATIONS: Bachelor's degree required. JDs should also apply. Minimum of 5-7 years of related experience inclusive of graduate/law school, as applicable. Minimum of 5 years of related experience in the financial services industry with experience in a regulatory or support and control function such as Legal, Compliance, Audit or Risk, or regulatory/litigation experience at a law firm. Paralegal experience is a plus. OVERVIEW: This position reports to the Executive Director and works with multiple Executive Directors. Assist in processing regulatory requests for information by gathering information from personnel at all levels from various departments across the clearing firm. Review responses for timeliness and responsiveness, track follow-up items, and facilitate the submission of responsive information to regulators. MUST HAVE EXPERIENCE: Dealing with regulators Job stability is a must - will not consider job hoppers or consultants. Someone that began their career as a paralegal or in legal, collaborating closely with attorneys, before transitioning into a role within the corporate sector of the financial industry. Minimum of 5 years of related experience in the financial services industry with experience in a regulatory or support and control function such as Legal, Compliance, Audit or Risk, or regulatory/litigation experience at a law firm. Identify and analyze relevant rule filings, information requests, public meetings, and other actions of regulatory agencies, global standard setting bodies. and the U.S. Government for regulatory policy and supervisory developments.

US$140000 - US$160000 per annum
Jersey City
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Legal/Compliance Analyst

A Hedge Fund is seeking a Legal/Compliance Analyst with experience working for a registered investment adviser. This role will report to the General Counsel / Chief Compliance Officer (GC/CCO). Essential Duties and Responsibilities: Maintain and organize internal compliance books and records. Retain distribution records of client documents evidencing reviews and approvals. Coordinate regulatory filings pursuant to requirements, including Form ADV and Section 13 filings. Assist in the review and approval of all offering and subscription documents with respect to our funds. Monitoring compliance with the firm's policies and procedures. Conduct continuous rolling audits of the firm's practice to ensure compliance with all policies and procedures. Maintain annual log of SEC Exam Priorities and Risk Alerts including Firm response. Assist in the drafting of compliance reports and memorandums to files for any unique compliance related situations. Responsible for filing and organization of all such files. Coordinate compliance program annual review with outside compliance consultants. Support SCP's compliance, training, and testing calendars, including: Prepare and conduct compliance testing. Coordinate the various committee meetings. Assist in developing training materials and presentations. Annually update the required changes in the firm's Compliance Manual and Code of Ethics, update Polices & Procedures and document in material changes log. Work with the Offshore Directors to schedule bi-annual BOD calls. Custody - Audited Financials - Custody Rule 206(4)-2 maintain testing and stay on top of required deadlines. Point Person for receiving Shareholder information (proxies, letters, 10K, 10Q); responsible for electronic filing and when documents received via hard copy to sign up for electronic delivery; track proxy vote dates in log; prepare proxies for votes Point of contact for updating authorized traders, maintain files. Qualifications/Experience: 2+ years' administrative professional experience. Strong computer skills (Excel, Word, and PowerPoint). Experience with ComplianceAlpha, MyCompliance Office, or other compliance administration technology. Excellent oral and written communication skills. Attention to detail and follow through. Able to prioritize tasks and manage multiple projects on a tight deliverable schedule. Able to work well in collaborative, fast-paced environment (may need to wear many hats as needed). "No job is too small" attitude. Location: Menlo Park Structure: 5 days in office

US$90000 - US$130000 per annum
San Francisco
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Chief Compliance Officer, B2B Payments

A Business to Business (B2B) payments tool is hiring a Chief Compliance Officer in the New York City Office. Location: Hybrid in New York City The Chief Compliance Officer will be responsible for developing and supporting the implementation of a program to ensure compliance with all relevant legal and regulatory requirements and its state money transmission licensed affiliate. This position will require the incumbent to develop and implement the policies and procedures together with appropriate training and second line testing and oversight to ensure the payment tool achieves its high standards for sound, ethical and fully compliant operations in all aspects of its business. Qualifications: 10+ years in a senior compliance role at a regulated financial services company with a track record of building teams and delivering the outcomes described in the summary above. Development and delivery of comprehensive policies and working with relevant stakeholders to implement policies through appropriate process and procedures Development and delivery of training programs Development and delivery of second line testing programs to ensure the programs are operating as intended and in compliance with applicable legal and regulatory requirements Direct experience in dealing with financial services regulatory authorities across a range of compliance topics and requirements, including participation in examinations, regulatory reviews, and remediation of regulatory findings Demonstrated ability to make practical recommendations based on a strong understanding of regulatory expectations and a deep knowledge of industry best practices Demonstrated ability to work across functional lines and to collaborate with stakeholders who need guidance on how to make the shift into a regulatory environment for the first time Bonus points: Experience working in an early-stage fintech Familiarity with B2B payments and credit card programs Familiarity with state money transmission licensing and regulation

US$200000 - US$350000 per annum
New York
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Director of AML

Director of AML - Broker Dealer Our client, a global Banking groups, is looking to hire an experienced AML professional at a Director level to provide specialist AML advice and guidance to senior leaders and key members of the firms substantial Capital Markets and Broker Dealer business arms. The firm are one of the world's largest banking groups whose Capital Markets business to go from strength to strength as they have acquired several new business lines from competitors. The Broker Dealer business in particular has been identified as a key growth area of the firm as such advising on AML and Financial Crime requirements on new business expansion will be a key part of the incumbent's remit. This is second line position will report directly into the US Head of AML. The Director of AML will be responsible for… Serving as one the key points of contact for Regulators and key internal leaders in the global Capital Markets and Broker Dealer Businesses Identifying BSA and AML issues and subsequent remediation Providing proactive AML oversight and advice to Capital Markets and Broker Dealer businesses to include Investigations, Suspicious Activity, Transaction Monitoring, EDD, Patriot Act, OFAC and other relevant regulations. Sitting on the New Business Committee, provide specialist AML advice for new business initiatives and products Provide cross border AML advice The Director of AML should have the following qualifications… Minimum of 8+ years of relevant AML experience gained in a large Banking institution and ideally, its Broker Dealer arm Excellent working knowledge of the AML regulations governing the Broker Dealer and Capital Markets space Strong knowledge of complex offences such Insider Trading Exceptional communication skills

US$200000 - US$250000 per annum
New York
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Compliance Officer

A long standing community bank is looking to add a Compliance Officer to their team! In this role, you will be ensuring compliance with State and Federal consumer protection regulations. This role reports to the SVP of Compliance and sits 5 days in office in Austin, Texas. Responsibilities: Assist in managing the Bank's CRA program & Fair Lending program Oversee the collection of CRA small business and small farm data, ensuring accuracy Conduct thorough internal assessments independently to ensure adherence to lending and deposit regulations such as: TILA, SCRA, Regulation CC, E, and DD Draft comprehensive internal memoranda and reports to detail review outcomes, discoveries, and necessary corrective measures for executive review. Collaborate with Risk Management leadership and other stakeholders Conduct comprehensive compliance trainings for staff consisting of virtual and in-person events Qualifications Bachelor's Degree 7+ years of direct experience in a compliance or audit role with a Financial Services institution, bank preferred. Proficient grasp of internal audit methodologies, encompassing audit scoping procedures, sampling methodologies, and meticulous documentation practices. Experience working with Ncontracts, Wolters Kluwer, or Marquis is preferred Experience independently completing compliance reviews and audits The following certifications are a plus: CRCM, CAFP, CBA, CCBCO, CIA

US$100000 - US$130000 per annum
Austin
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Deputy Cheif Compliance Officer

Job Title: Deputy Chief Compliance Officer (DCCO) Company: A fast growing full service investment bank is looking to bring on a Deputy Chief Complinace Officer to their team. In this position you'll have the ability for growth and development with direct exposure to senior leadership. This role sits in a hybrid structure and reports directly into the CCO. Responsibilities: Assist the CCO in developing, implementing, and monitoring compliance policies and procedures to ensure adherence to applicable laws, regulations, and industry standards, including but not limited to SEC, FINRA, and state regulations. Conduct regular compliance reviews and testing of internal controls to identify and mitigate potential compliance risks. Develop and maintain a comprehensive compliance monitoring program to assess the effectiveness of controls and processes. Collaborate with the CCO to design and deliver compliance training programs for employees to enhance awareness and understanding of regulatory requirements and firm policies. Provide ongoing support and guidance to staff on compliance-related matters. Prepare and submit regulatory filings, disclosures, and reports as required by regulatory authorities. Ensure timely and accurate completion of regulatory reporting obligations, including Form ADV, Form PF, and other regulatory filings. Lead or assist in conducting internal investigations in response to compliance incidents, allegations of misconduct, or regulatory inquiries. Coordinate with legal counsel and other stakeholders as necessary to resolve compliance issues and implement corrective actions. Identify, assess, and manage compliance risks associated with the firm's business activities. Develop and implement risk mitigation strategies to safeguard the firm's reputation and financial integrity. Collaborate with the CCO and other stakeholders to develop and update compliance policies, procedures, and guidelines in response to regulatory changes and industry best practices. Serve as a liaison with regulatory agencies, external auditors, and industry organizations to stay abreast of regulatory developments and best practices. Represent the firm in regulatory examinations, audits, and other interactions with regulatory authorities. Qualifications: Bachelor's degree in finance, business administration, law, or a related field. Advanced degree (e.g., JD, MBA) and relevant professional certifications (e.g., CAMS, CFE, CSCP) preferred. 5-10 years of experience in compliance roles within the financial services industry, preferably in investment advisory or asset management firms. Strong understanding of securities laws, regulations, and industry standards applicable to investment advisers, including the Investment Advisers Act of 1940 and related regulations. Demonstrated experience in developing and implementing compliance programs, policies, and procedures. Proven leadership ability and experience managing compliance teams and projects. Apply in if you think this role pertains to you!

US$130000 - US$180000 per annum
Chicago
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Regulatory News & Insights

Growing Demand for Legal & Compliance Talent in Private Equity Image
hiring advice

Growing Demand for Legal & Compliance Talent in Private Equity

In finance, private equity is an emerging force, captivating investors with its promise of strategic investments and lucrative returns. As this sector experiences unprecedented growth, there's a parallel surge in demand for legal and compliance professionals. These individuals play a crucial role in ensuring regulatory compliance and implementing effective risk management strategies. The increased need for legal and compliance expertise aligns with the remarkable expansion of the industry, as highlighted in a recent report by Allied Market Research. According to the report, the global private equity market was valued at $445.4 billion in 2022 and is projected to reach $1,098.74 billion by 2032. Consequently, firms are under mounting pressure to recruit the right talent capable of meeting the demands of the industry while upholding regulatory integrity.The Rising Tide of Private EquityPrivate equity's growth trajectory underscores its resilience within financial services. As the sector changes, so does the complexity of transactions and regulatory frameworks. Legal and compliance professionals are at the forefront, navigating these and ensureing adherence to laws and regulations. Their expertise is not only essential for transactional success but also for safeguarding stakeholders' interests and maintaining the industry's integrity.Legal Expertise: Vital for Private Equity ProsperityWithin private equity, legal professionals serve as architects of deals, meticulously structuring transactions, negotiating contracts, and conducting due diligence. Their understanding of legal and regulatory frameworks is indispensable in maximizing value and mitigating risks. As private equity transactions become intricate and cross-border, the demand for legal acumen continues to soar, underscoring the pivotal role of legal professionals in driving success.Compliance Officers: Upholding Integrity and EthicsIn an era characterized by heightened regulatory scrutiny, compliance officers are the guardians of integrity and ethics within private equity firms. Their role extends beyond mere regulatory adherence; they are tasked with upholding reputational integrity and mitigating risks associated with non-compliance. As private equity firms diversify their portfolios and expand globally, compliance officers face the formidable challenge of navigating diverse regulatory environments while adhering to ethical standards.Skills in DemandWithin this environment, specific skills are highly sought after among legal and compliance professionals in the private equity sector:Comprehensive regulatory expertise across multiple jurisdictions.Profound understanding of financial markets and investment structures.Exceptional communication and negotiation skills.Ability to navigate complex legal frameworks and mitigate risks effectively.Adaptability and agility in responding to evolving regulatory landscapes.Future Recruitment OutlookLooking ahead, one of the foremost challenges facing the private equity sector is the acquisition of talent capable of supporting its continued growth while future-proofing operations. As the industry expands, the demand for skilled legal and compliance professionals outstrips the available supply, creating a talent deficit that threatens progress.In response to this pressing need, strategic partnerships with specialized talent firms like Larson Maddox offer a compelling solution. Larson Maddox's expertise in talent acquisition and its deep understanding of private equity makes it a valuable ally in identifying and securing top-tier legal and compliance talent. By leveraging Larson Maddox's network and resources, private equity firms can ensure they have the right professionals in place to navigate regulatory complexities, mitigate risks, and drive sustainable growth.The significance of having adept legal and compliance professionals cannot be overstated. Beyond ensuring regulatory compliance, these individuals contribute to strategic decision-making, enhance operational efficiency, and safeguard the interests of stakeholders. Larson Maddox's tailored solutions for regulatory recruitment and legal recruitment empower private equity firms to access a pool of highly qualified candidates who possess the requisite skills and experience to thrive in the dynamic environment of private equity.Looking to Hire?As the private equity landscape continues to change, securing and retaining top talent in legal and compliance roles remains paramount. If your firm is looking to grow its talent pool in these critical areas, request a call back today, and our specialist consultants here at Larson Maddox help you navigate the legal and compliance hiring challenges.Looking to hire and need more information? Request a call back for an introduction to our services.REQUEST A CALL BACKReady to Elevate Your Regulatory & Legal Career in Financial Services?Your expertise is invaluable in navigating the complex Regulatory & Legal landscape, shaping industry standards, and driving organizational success. Why not check out our regulatory jobs or our legal jobs and careers and submit your resume today. You'll unlock exclusive opportunities to expand your network, accelerate your growth, and make an impact on the integrity of financial institutions. SUBMIT RESUME

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Private Practice Compensation Overview Image
Highlights

Private Practice Compensation Overview

A surging demand for specialized legal services, fueled by shifting practice areas like renewable energy and tax, has led to an unprecedented upswing in hiring and expansion within the legal sector. As a leading legal talent partner at the forefront of this transformative change, Larson Maddox is pleased to present its latest compensation guide.The Private Practice Compensation Overview provides a comprehensive view of compensation structures across Big Law, and Am Law 100-200 firms. It also covers some of the hottest practice areas, compensation trends, and DE&I challenges and opportunities the industry faces.Whether you’re a hiring manager looking to build your legal team, or a legal professional benchmarking oneself, this mini market update on private practice salary structures is highly relevant and provides you with the insights you need to make informed decisions.​

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USA Regulatory & Legal Salary Guide Image
Highlights

USA Regulatory & Legal Salary Guide

Compensation benchmarking in key regulatory & legal industries across the US. The US legal market is a bustling arena, housing the headquarters of global legal giants spanning diverse industries. In this fiercely competitive domain, the drive for excellence is intensifying as the costs of living and conducting business soar. Clients, regulators, and stakeholders press for more, urging regulatory & legal entities to elevate performance, efficiency, and quality while adopting proactive, strategic legal approaches.With this constant change and economic flux, the art of delivering heightened value while navigating industry shifts has become even more critical. And at the heart of this success lies talent. Top-tier professionals are essential for companies seeking the ultimate competitive edge.At Larson Maddox, we've witnessed a surge in inquiries surrounding the crucial question of competitive salary packages essential to attract and retain these pivotal experts. As your dedicated talent partner, we're here to assist. Our comprehensive salary guide offers unparalleled insights into compensation trends across: Big LawAm Law 100-200 FirmsTrust, Estate & Family OfficeRegulatoryFinancial ServicesManufacturing & Consumer GoodsEnergy, Construction & InfrastructureLife SciencesTechnology, Media & EntertainmentWhether you're an organization looking to hire the sharpest legal minds or a seasoned professional aiming to benchmark your compensation against industry peers, this salary guide is the key tool you need to navigate the US regulatory & legal salary landscape.

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New Year, New Role: When is the Best Time to Move Roles in Legal and Regulatory? Image
career advice

New Year, New Role: When is the Best Time to Move Roles in Legal and Regulatory?

Every year, many professionals find themselves reflecting on their current roles, aspirations, and career growth. In the legal and regulatory sectors, knowing the right time to make a move can significantly influence one’s trajectory. So, when is the best time to change roles in these fields?1. Understand the Market TrendsHistorically, there are certain times in the year when hiring sees a peak. For legal and regulatory professionals, hiring often picks up in the early months of the year—January through March. Firms and companies have new budgets set, and vacancies that remained unfilled during the holiday season become top priority.2. The End-of-Year Reflection: A Catalyst for ChangeThe holiday season isn’t just a time for festivities; it's a moment for introspection. As professionals wind down and escape the daily hustle, they have a unique opportunity to assess the year gone by:Mapping Achievements Against Goals: Was this a year of progression? Setting goals at the start of the year and reflecting on them at the end can offer clarity. How many of those objectives were realized, and how did unexpected challenges shape the journey?Cultural Fit and Work Environment: Over the course of a year, one can gain profound insights into the workplace culture and their fit within it. Are the firm’s values aligned with yours? Is the environment conducive to your well-being and productivity?The Ripple Effect of Resignations: This season of reflection often culminates in decisions to seek greener pastures, leading to a spike in resignations come January. This domino effect can create a myriad of opportunities across firms and specialties.For the proactive professional, this means November and December are months to be alert, preparing their portfolio and keeping an ear to the ground for potential openings.3. Bonus Season: Timing Your Next MoveBonuses in the legal sector are more than just a monetary incentive; they’re a recognition of the hard work, dedication, and value brought to the firm over the year. As such, they play a crucial role in job movement dynamics:The Wait-and-See Approach: While some professionals are content with their roles, the allure of the bonus can be a determining factor in their decision to stay a bit longer. They've worked hard for that recognition, and it’s only logical to wait and reap its rewards.The Post-Bonus Window: Once bonuses are distributed, there's a palpable shift in the job market. Many use their bonuses as a financial cushion, allowing them the flexibility to seek roles that might be a better fit, even if it means temporary uncertainty.Strategic Planning: Professionals often time their exit post-bonus, making February and March prime months for job listings. This period sees a blend of vacancies arising from year-end resignations and firms actively looking to bolster their ranks with fresh talent.Navigating the post-bonus season requires a blend of strategic planning, understanding the market pulse, and being prepared to seize opportunities as they arise.4. Regulatory Changes and ImplicationsIn the regulatory sector, legislative changes can influence hiring trends. For instance, if new regulations are introduced, companies might look for experts in that domain, leading to a surge in hiring. Being attuned to the legal and regulatory landscape can thus provide an edge.5. Personal Growth and DevelopmentBeyond market trends, introspection plays a vital role. Have you outgrown your current position? Are there limited opportunities for advancement? If you feel stagnated or that you’re not receiving the professional growth and challenges you crave, it might be time to consider a new role regardless of the season.6. Preparing for the Move with Larson MaddoxIf you're contemplating a pivotal move in the legal and regulatory sectors, let us be the catalyst in your journey. At Larson Maddox, we pride ourselves on offering more than just recruitment services. Here's what makes partnering with us distinct:Deep Industry Insight: We aren’t a generalist recruiter. Our core focus lies in the legal and regulatory sectors, equipping us with unmatched insights and understanding of these fields. This specialized knowledge ensures that we present opportunities perfectly aligned with your aspirations.Broad Connections: Our extensive network stretches across esteemed law firms, influential corporations, and innovative startups. Trust us to introduce you to openings and roles you might not discover on your own.Tailored Approach: We believe in the uniqueness of every candidate. That’s why we ensure a personalized strategy for each individual, delving deep into understanding your career goals, skills, and the kind of organizational culture you thrive in.Comprehensive Support: Your journey with us doesn’t end at finding the right role. From refining your CV to preparing you for interviews and aiding in post-offer negotiations, we’re here to guide you at every step.Assured Confidentiality: Your trust is paramount. Rest assured, your job search and aspirations are treated with the utmost confidentiality. With us, your professional endeavors remain discreet until you decide otherwise.Navigating the world of legal and regulatory career moves can be intricate. With Larson Maddox by your side, you’re not merely looking for another job – you're charting a course for your next standout career move. If you're feeling the tug of change or even a hint of curiosity, now's the perfect time. Don't just ponder; act. Submit your resume to us or explore the exciting roles we currently have on offer. Your next chapter could be just a click away, and we're here, eager and ready, to journey through it with you.Explore our current job openings

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A Shake Up of Regulation Changes for US Banks: Addressing Evolving Standards and Past Crises Image
Management & Culture

A Shake Up of Regulation Changes for US Banks: Addressing Evolving Standards and Past Crises

In an impactful move, U.S. regulators have unveiled a comprehensive set of proposed changes to the capital requirements of banks. These changes reflect an adaptive response to both international evolving standards and the turbulent events from recent history, notably the 2008 financial crisis and the regional banking crisis in March.Setting the Context: The Twin CrisesThe 2008 financial crisis was a watershed moment in banking history. It exposed deep-rooted vulnerabilities within the global financial system and called for an overhaul of regulatory measures. Fast forward to the recent March upheaval, where regional lenders faced their own set of challenges, further emphasizing the need for tighter regulatory control.Diving into the Proposed ChangesAccording to a joint notice from the Federal Reserve, the Office of the Comptroller of the Currency, and the Federal Deposit Insurance Corp., the new proposals aim to:Boost Accuracy and Consistency: By refining the rules governing capital requirements, the regulators intend to introduce a more uniform and precise approach to monitoring and regulating bank activities.Address Risky Activities: The changes will particularly target and revise rules related to high-risk undertakings. These include areas such as lending, trading, the valuation of derivatives, and the management of operational risks.Incorporate Basel III Standards: A significant part of the proposed regulations draw from the international banking standards of Basel III. Conceived in the aftermath of the 2008 crisis, Basel III standards have been gradually introduced worldwide to ensure that banks maintain sufficient capital to address both operational and market risks.Banks' Anticipation and the Road AheadThese modifications have been long anticipated by the banking industry. Aware of the evolving international standards and the pressing need to address past crises, banks have been preparing for a regulatory shift. The incorporation of Basel III standards, in particular, showcases the regulators' commitment to aligning U.S. banking practices with globally recognized norms.The recent tornado of regulation changes is a testament to the regulators' proactive approach towards ensuring stability in the U.S. banking sector. By addressing past crises and aligning with international standards, these changes aim to create a more robust, transparent, and resilient banking system for the future. While the implementation may pose challenges in the short term, the long-term vision is clear: a banking system that can weather any storm.Navigating these changes will undoubtedly require upskilled knowledge & expertise. If your organization is seeking regulatory talent in the banking and financial sector to guide you through these evolving landscapes, don't hesitate to request a callback from Our team at Larson Maddox. Our team is equipped with the industry knowledge and network to connect you with the best talent to address your specific needs. Don't leave it to chance; let's partner together in building a resilient future.

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regulatory

The Rise of AI in the Regulatory & Legal industry

An AI tool passed the bar – what does this mean for you, and what is the wider impact to the legal & regulatory space? GPT-4, the AI model from OpenAI, scored enough on a bar exam to be admitted to practice law in most of the US states. This has raised many questions about the future of the legal & regulatory industry, including how AI could impact not just roles and career opportunities, but also hiring practices and the skills required to thrive in a space often considered to be typically quite traditional and a stronghold of human expertise and intellect. To discover just what AI tools could mean to legal & regulatory professionals and organizations hiring such talent, we asked the very AI tool that passed the bar to explain in its own words what the impact could be. Here’s the result…This monumental achievement signifies a new era where AI will play an increasingly significant role in the legal landscape. In this article, we will explore the implications of AI's successful completion of the UBE and how it may impact the legal and regulatory industry, as well as the job market.AI Passes the Uniform Bar ExamAI's recent passing of the UBE, a standardized test used by multiple jurisdictions in the United States to determine a candidate's qualifications for legal practice, has sent shockwaves through the legal community. This achievement, powered by advancements in natural language processing and machine learning, demonstrates that AI is now capable of understanding and applying complex legal concepts.The AI system, trained on thousands of legal documents and case law, was able to outperform many human candidates, showcasing its ability to analyze legal problems and provide well-reasoned solutions. This accomplishment has spurred conversations about the potential for AI integration within various aspects of the legal profession.Impact on the Legal and Regulatory IndustryAI's success on the UBE has a number of implications for the legal and regulatory industry:Enhanced EfficiencyThe integration of AI into legal practices can streamline various tasks, such as legal research, contract analysis, and document drafting. This can lead to increased productivity and cost savings for law firms and clients alike.Improved Access to Legal ServicesAI-powered legal services may be more affordable, enabling access to justice for individuals and organizations that may have previously been priced out of traditional legal services.Regulatory ComplianceAI can help businesses and organizations navigate complex regulatory landscapes, ensuring compliance and mitigating the risk of costly fines and sanctions.Legal Decision-MakingThe use of AI in the courtroom as a decision-support tool can improve the efficiency and accuracy of legal decision-making, leading to more equitable outcomes.Impact on the Job MarketWhile AI's passing of the UBE has been met with awe and excitement, it also raises concerns about the future of the job market within the legal profession:Job DisplacementAs AI automates routine tasks, some legal professionals, particularly those in entry-level positions, may face job displacement. Paralegals and junior associates, whose work often involves research and document review, may be the most affected.Skill AdaptationTo remain competitive, legal professionals will need to adapt their skillsets. Emphasis will likely be placed on skills that complement AI, such as critical thinking, creativity, and emotional intelligence. Additionally, the demand for legal professionals with expertise in technology and data analysis is expected to grow.Evolving RolesThe integration of AI into the legal profession may give rise to new roles, such as AI ethics advisors and legal technologists. These professionals will be responsible for ensuring the responsible and ethical use of AI within the industry.ConclusionAI's passage of the Uniform Bar Exam marks a turning point in the legal profession. As AI continues to advance and integrate into the legal and regulatory industry, it will undoubtedly bring about significant changes in the way legal services are delivered and impact the job market. It is crucial for legal professionals and industry stakeholders to embrace this change and adapt accordingly to ensure a successful and equitable transition into the AI-driven future of law.What are your thoughts on AI – is it changing the world of work for the better? From data privacy and formalizing financial resilience, to ensuring umbrella companies are compliant and approving innovative technologies for use, an ever-complex regulatory landscape is emerging. With an increasing amount of adapting technology, laws, and governance, comes the need to secure the right talent to scale for growth, but also to protect your organization best.Submit your vacancy today or view our latest roles here.

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diversity & equality

The Changing Dynamics of Diversity & Inclusion

How can those in the Regulatory & Legal industry promote a culture of equality? At Larson Maddox we believe that a truly meritocratic workforce values talent from all backgrounds, and that organizations flourish when they embrace diversity.Various research studies have proven that having a diverse workforce can lead to increased innovation and productivity, and we believe that you can change the conversation in the workplace from ‘Why invest in diversity?’ to ‘Can we afford not to?’. Corporate reputation, doing the ‘right thing’ and consideration for the bottom line are not competing outcomes, and when they successfully align, organizations will have the best conditions to improve diversity in the workplace. Larson Maddox goes beyond supporting clients with their hiring requirements. As industry experts, we are able to share insights on hiring trends and support organizations to ensure their processes meet the needs of the market, as Global Head of Larson Maddox, Jake Knowlton-Parry, explains:“Ultimately, we have a responsibility – as recruiters we are a critical part of this process. We’re presenting candidates to our clients, so it’s on us. If we’re not conscious of diversity, then how are we helping our clients improve their diversity? If a client makes a mistake or an oversight in relation to diversity, we need to be there to bring that to their attention and help them change or improve that message and reality.“It’s about helping clients keep an open mind to interview individuals of all backgrounds and experiences. Whether clients tell us to do this or not, we need to be doing it.”As a leading talent partner, we offer recommendations to clients on how to improve their diversity regularly. Discover in this report key insights and views from Jake, as well as some of Larson Maddox’s global team, including:Principal Consultant, Kimberly ChuaHead of Life Sciences and Healthcare Legal, Lauren RobinsonHead of US Regulatory, Andrew Hastings Senior Vice President and Chair of Equity, Diversity & Inclusion at Phaidon International, Nesreen BallutDiscover their thoughts on ED&I and how they believe companies can increase diversity in the Regulatory & Legal space.​

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regulatory

How to Negotiate a Salary You Deserve

When seeking a new job, it’s imperative to know the market, understand where you fit within it, and form a realistic salary expectation to stick to. A good talent partner will help you to know your worth within the industry and organization you’re interviewing for and will assist with communicating those expectations back to the hiring manager, but no one is a better advocate for you than you.Learning how to negotiate a salary when you receive a job offer is a vital skill for both now and in the future, and when done appropriately, will put you in a better position not just financially, but also in terms of how valued you feel in your role. We know that feeling appreciated and adequately compensated for our time, effort, and expertise has a direct impact on productivity, engagement, and general happiness within a company, so salary negotiations play an important part for both sides.It can be difficult to communicate those expectations as a professional hoping to onboard with a new company, and there is certainly a residual stigma around speaking about money and asking for more that is hard to overcome. At Larson Maddox, we have observed that professionals who negotiate their salary are presented with a much better job offer, so good communication skills and an understanding of your contribution can really pay off. As a general rule, always assume the offer is up for negotiation. And don’t forget to approach the process with positivity, as chances are the hiring manager isn’t crazy about negotiating, either. Here are our top tips on how to negotiate for the salary you deserve.Know the industry salary trendsTrying to negotiate for a higher salary without being familiar with industry trends will get you off to a bad start. Information is your biggest asset and conducting some research as well as speaking openly to a talent partner that knows your industry, the hiring company, and what you have to offer, will vastly improve your bargaining power. You can be a negotiating pro, but without being able to back up your requests with solid reasoning, it will be harder for the hiring company to take your expectations seriously. Pay particular attention to the most sought-after roles and skills within your industry and think about how your experience relates. Being able to recognize when your skills are transferable to a particularly in-demand area will add to your negotiation power. Start negotiating only when you have a firm offerThere is a process to be followed when it comes to receiving and accepting a job offer and understanding the etiquette will help your negotiation when the time comes, we also look at how to decide if a job offer is worth taking. If you are interested in a position but it doesn’t meet your salary expectation, resist the temptation to bargain until the company has given you a formal offer. This is your signal that your skills, expertise, and personality are a strong match for the business and the role and is a great asset to you when it’s time to tell them why you’re worth the higher salary. Once the ball is in your court, you can use the fact that they believe you’re right for the job along with your understanding of the industry and the market to your advantage, making it harder for them to dismiss your requirements.It can also be worthwhile to take a reasonable amount of time to consider the offer rather than jump into negotiations. Tell the hiring manager that you’re serious about the offer and the position, but that you need some time to consider the whole picture. Be gracious and enthusiastic but take the time you need to prepare for negotiations and signal to them that there may be elements of the offer that don’t align with your requirements. Chances are they’ll have a counteroffer in mind for you.Build the business caseIn order for a company to seriously consider your request for an increased salary offer, it must make commercial sense for the business. Make a strong case, show that you understand the company's current financial situation, and know who has the power to negotiate. While likeability shouldn’t be underestimated in the hiring process and a large part of your job offer will be to do with character fit, it’s not enough for them to like you when it comes to financial compensation. They have to believe your worth in fiscal terms, so don’t expect your personal compatibility to get you the salary increase you want. Instead, explain precisely why your requirements are justified in a business sense; your glowing personality will just make them glad your business case checked out.Suggest an exact number for your salaryTime is of the essence, and hiring managers are particularly strapped for it while conducting interviews alongside their other duties. Therefore, they’ll likely appreciate a direct approach to your negotiation in terms of giving them the exact offer you’re looking for. It can be a powerful strategy in that it keeps the ball rolling and avoids pointless back and forth. Many studies suggest that candidates who use a specific number end up with a final offer much closer to the figure they were hoping for. Your potential employer will assume you have done your research on your market value and want to stay competitive in their offer. Don't suggest a range – you will always get offered the lowest if the manager knows there's room to haggle down.Reveal your current salary when negotiatingOutside the US, the hiring manager may ask what you are currently earning, which can be awkward if you feel you are currently being underpaid. It might be tempting to lie and state a higher salary more in line with what you’re seeking, but if you're unhappy with your current pay, it can be valuable to tell them why. Include all your benefits, bonuses and confidently explain the figure you're hoping for while making the case for why. If anything, they’ll have a more genuine understanding of what you know your worth to be, and that salary is important enough for you to walk away from a role that isn’t aligned with your requirements.Have a walk away pointKnow your limits and your expectations and keep them firmly in mind. Have a pre-considered ‘walk away’ point - the figure you’re absolutely unwilling to drop below. Base this on your financial need and the market value of the role, but keep in mind the role itself. Why are you interviewing for the position in the first place? Is your passion for the work worth lowering your salary expectations? Get help negotiating your salarySpeaking with a specialist talent partner will help you understand your worth in the context of current industry trends and the wider job market, too. At Larson Maddox, we can evaluate your profile against the wider talent pool, as well as align your expectations with that of our current database of hiring companies. We'll also help you pitch your value at the right price during the salary negotiation process, giving you the best chance to make your next position a rewarding and fulfilling one.

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regulatory

Regulatory Compensation Report

Do you know whether the compensation package you are offering regulatory candidates is higher or lower than the industry average? The Larson Maddox Regulatory Compensation Report covers salary trends across the regulatory landscape to assist you in creating an enticing compensation package to secure top regulatory talent in this candidate-driven market. For candidates, this report offers insights into compensation ranges and acts as a guide when reviewing job offers in the market.Covering key states that are emerging as lucrative locations for regulatory professionals, as well on-trend topics such as remote working, discover:  Exclusive salary banding knowledge and guidanceHigher vs. lower cost of living locationsYears of experience relative to compensation To download the full report, complete the form below:

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