To predict the success of any organization, just inquire about its leadership.

Successful organizations understand the critical importance of attracting, developing, and retaining the industry’s best talent. They know that while competent managers can help a company scale the ladder of success, exceptional leaders ensure that the ladder is leaning against the right wall.

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For decades, we’ve helped the nation’s leading financial services organizations and law firms gain a competitive edge in the quest for top talent. Firms of all shapes and sizes – with unique platforms, philosophies, and cultures – have turned to us for advice and assistance in designing, creating, and building dynamic organizations. As a top-tier legal and compliance executive search firm, Palmer Kent offers personalized attention, specialized knowledge, an extensive candidate and referral network, and custom-tailored processes.

So why us? 

Because we don’t try to be all things to all people. We’re niche players, and we enjoy being who we are: specialists – industry experts who focus on filling senior legal and compliance positions for premier financial services organizations and law firms. Our clients enjoy the many benefits of working with experienced search consultants who speak their language, know their market, understand their business, and appreciate their legal, compliance, and regulatory concerns.
That same specialization has allowed us to cultivate enduring relationships in our niche market – with our clients, our candidates, our referral sources – and these relationships are the key ingredients in Palmer Kent’s recipe for success. The trust we’ve earned over the years has enabled us to develop a broad and extensive network, and a database of potential candidates numbering in the thousands.

AREAS OF COMPLIANCE SPECIALIZATION

Below is just a sampling of the compliance areas in which we specialize: 

•    Private Equity
•    Proprietary Trading
•    Rule 38a-1
•    Rule 206(4)-7
•    Registration & Licensing
•    Regulatory Compliance
•    Retail Brokerage
•    Retail Trading
•    Risk Management
•    Sarbanes-Oxley/Corporate Gov.
•    Securitization
•    Structured Products
•    Supervisory Controls
•    Trade Surveillance
•    Trading Desk
•    Training/Continuing Education
•    Wealth Management
•    Wrap Programs
•    Written Policies & Procedures
•    Written Supervisory Procedures

•    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
•    E-mail Surveillance
•    Employee Trading
•    ERISA
•    Futures/Commodities/Options
•    Hedge Funds
•    Information Technology Compliance
•    Institutional Trading
•    Managed Accounts
•    Mutual Funds
•    Prime Brokerage