Legal And Compliance

Over the past decade, great Legal and Compliance candidates have become an asset to every financial firm. Whether you need a seasoned manager or an up and comer with a JD, Empire's Compliance Division is at your service.

SARS, Alerts, Sanctions, KYC, Holistic, EDD, CDD, Advisory and Risk Assessment for Commercial Banking and Investment Banking. 

Broker-Dealer, Advertising and Marketing Review, Trade Surveillance, Employee Trading, Investment Advisory, Asset Management, Monitoring and Testing, Regulatory, Compliance Assistants and Registration.

Equity (Derivatives and Options) , Fixed Income ( Bonds, Municipals, Debt Products, Treasury and Rates), Credit (CLO's, CDO's, Swaps).

In House General Counsel,Paralegals, Corporate Attorney's, Partnership and Trust Counsel.

Mutual Funds, ETF, Private Equity, Hedge Fund and Offshore Funds.,