From Me to You: A Blatant Sales Pitch to Hiring Managers for Financial Services Legal, Compliance, Risk and Audit Departments


David L. Reitman, Esq.
Phone: 914-693-9165

I never knew what I wanted to be when I grew up (still don’t!), so I took the LSATs, went to law school and became an attorney. I quickly realized I would have been a great lawyer if it wasn’t for all that darned fine print!



So you find yourself with a role that needs filling.  Maybe someone quit with no notice and you need to find a new team member NOW, so you cobble together a job description on the fly.  Perhaps your company is in the midst of a slow, planned growth stage and you have lots of time to carefully search for that perfect candidate and create a thoughtful advertisement.  You ask your colleagues if they know anyone.  You post online through various job boards.  And the resumes start rolling in…

I get it.  You would like to try and fill the role on your own, without paying a recruiter the typical 25% of the first-year base salary.  Let’s say the job is for a boutique mid-level broker dealer compliance officer at $100k/year.  And those resumes start rollin’ in.  “Quick learner” many of them boast.  Resumes of bank tellers, asset management AML officers, Amazon “fulfillment” team members.  You name it, you’ll see it.  OY VEY.  I recall, many years ago, when I was working in a fine wine shop and my boss asked me to lead the search for a knowledgeable sales clerk (maybe this planted the recruiting bug in me).  I wrote up an ad and placed it in the local newspaper (remember them?).  You would not believe what came in on the FAX machine (remember those?).  Maybe 40-50 resumes, only ONE with any fine wine experience.  He got the job, but only after hours of reading CVs, taking phone calls, answering questions. 

So the question at hand might be:  at what point does this become less efficient, costwise, than outsourcing this task to a professional?  Would you rather go through 100+ irrelevant resumes, or have 3-5 on point to review?  Here’s something to consider:  we have hundreds of qualified candidates on file RIGHT NOW!

You are the hiring point person in the compliance department of a financial services firm.  DLR Associates is a legal and compliance (and audit and risk) search firm specifically for you!  We are exclusively focused on exactly the types of candidates you are hoping to attract, we serve only financial services institutions (including banks, BDs, RIAs, and insurance companies) and we have been doing this since 1998.  That’s over 20 years of experience.  We know the difference between a Series 7,24 BD compliance manager and a bank side AML officer and I’ve been at the helm for the entire run.

When you contact me to help with your search, you can be assured that I will come prepared.  I will research your firm.  I will ask you to fill in any information gaps that might slow down the search.  I will ask you what you DON’T want.  How large is your team, what is the reason for your search (did someone quit, are you expanding, did you promote internally?).  I like to think that I am easy to work with, that I have one mouth, but two ears. 

We at DLR Associates believe that communication is paramount.  When you call or email for any reason, you can be assured that we will respond promptly.  If you need periodic updates, we will provide them. 

If you want to be hands-on, we will work closely with you.  If you want to focus on other things, we will take charge of the search from start to finish.  We will review the job description and sculpt it into something that will attract the best candidates.  Tell us about your work culture, the benefits of being on your team, the fulfilling nature of the work, possibilities for upward advancement.  We will convey this in our marketing efforts on your behalf. 

We also work with candidates to get them to the top of their game; encouraging them to dive deeply into company research and making sure they are properly prepared for the interview process.

We are a boutique firm narrowly focused on YOUR sector.  We are not a global, international behemoth where the recruiter you spoke to on Tuesday is gone on Thursday.  Much like the old television advertisement about Hertz and Avis, two rental car companies, “We may be #2, but we try harder!”  Give us a shot and we will work tirelessly on your behalf. 

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Financial Services recruiter
DLR Associates Recruiting

David L. Reitman, Esq.
Phone: 914-693-9165

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