Our Services
“Genius is one percent inspiration and ninety-nine percent perspiration.”
- Thomas Edison
As a boutique executive search firm, WH Group has committed itself to doing just one thing, and doing it exceptionally well: Legal and Compliance. We know that dedication and focus lead to excellence. That’s why for more than ten years our specialist consultants have devoted themselves exclusively to working with financial services organizations and law firms. We’ve had the privilege of partnering with them, time and again, to attract and hire the industry’s most talented, sought-after attorneys and compliance professionals. Additionally, our affiliation with Equilibrium Consulting Group has enabled us to provide the full spectrum of compliance and regulatory consulting services to our Investment Adviser, Broker-Dealer, Hedge Fund, Mutual Fund, Law Firm, and Insurance Company clients. So while we can’t help you find your next IT Director, we can help ensure that you have the right people and the right solutions to meet your firm’s unique legal and compliance needs.
Below is just a sampling of the compliance areas in which we specialize, together with some of the legal positions our firm is routinely asked to fill:
Areas of Compliance Specialization
- 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
- Private Banking
- 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
Legal Positions
- General Counsel
- Deputy General Counsel
- Assistant General Counsel
- Associate General Counsel
- Chief Counsel
- Deputy Chief Counsel
- Chief Regulatory Counsel
- Regulatory Counsel
- Staff Attorney
- Staff Counsel
- Senior Legal Counsel
- Legal Counsel
- ‘40 Act Partner/Associate
- ‘34 Act Partner/Associate
- ‘33 Act Partner/Associate
- Hedge Fund Partner/Associate
- Securities Litigation Partner/Associate
- M & A Partner/Associate
- Corporate Finance Partner/Associate
- Partner
- Of Counsel
- Special Counsel
- Senior Counsel
- Counsel
- Associate
