Anyone work in compliance

My husband is an attorney and quite unhappy with his job. He is looking to make a move to a compliance job..Was wondering if anyone worked in the field and had any tips to offer. Thanks

Re: Anyone work in compliance

If he practiced within the industry he can highlight his knowledge and experience with the laws and the regulatory bodies since that would definitely be a plus. any cases he handled that involved a breach of compliance policies? during the interview talk about how he has the necessary investigative and deductive reasoning skills needed for a compliance manager. if he has any friends in the industry, he should ask them to put him in touch with a compliance officer at their firm for an informational interview. not only does he get his questions answered but he also makes a contact

Message edited 9/2/2007 12:48:33 AM.

Re: Anyone work in compliance

I do
Has he done anything within the industry or is he just looking for a career change?
whats his exp?

Re: Anyone work in compliance

thank you both..... he has contacted a few friends in the industry to get some contacts and ideas for resume/cover letter.... he has limited a compliance background though.. In law school he interned at the attorney general securities division doing compliance but other than that he has been doing legal work since graduation. I think that is the hardest part, actually making the career switch. He is completely willing to start at an entry level position....he's just having a hard time switching fields... thanks again for your advice

Re: Anyone work in compliance

I am CCO at a hedge fund. With a legal background, it seems like a very normal transition. From my experience, compliance is very industry specific. For example, if your DH worked within the Investment Management/Hedge Fund group at a law firm, he can easily fill the shoes of in-house counsel or CCO at a hedge fund. He could also work for a consulting group. Same goes for Broker/Dealers. I can't not help you if is focus is outside the securites industry, but it should be similar (healthcare, insurance, etc.)