Current Job Postings
Date Posted Position
Company
City
State
03/26/2015 Compliance Manager
Advantus Capital Management
St. Paul
Minnesota
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03/26/2015 Senior Compliance Analyst
Sands Capital Management
Arlington
VA
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03/25/2015 Attorney-Advisor
U.S. Securities and Exchange Commission
Denver
Colorado
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03/24/2015 Director, Due Diligence
Foreside Financial Group, LLC
Portland
ME
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03/16/2015 Chief Compliance Officer
Confidential
New York
NY
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03/14/2015 Registration Coordinator-150007166
Quasar Distributors / US Bancorp Fund Services
Milwaukee
WI
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03/13/2015 Compliance and Risk Associate
Pinetum Partners
New York
NY
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03/12/2015 Director, Compliance and Legal Affairs
Oxford Financial Group, Ltd.
Carmel
IN
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03/12/2015 Surveillance Administrator
Primerica
Duluth
GA
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03/12/2015 VP NFFG Operations & Chief Compliance Officer
Navy Federal Financial Group (NFFG)
Vienna
VA
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03/11/2015 Branch Office Examiner
AIG
Oakdale
MN
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03/10/2015 Compliance Analyst
Highland Capital Management
Dallas
TX
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03/10/2015 Compliance Consultant
1st Global Capital Corp
Dallas
Texas
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03/06/2015 Sr. Consultant Swap
The Northern Trust Company
Chicago
IL
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03/03/2015 Finop and Senior BD Compliance Consultant
Regulatory Compliance, LLC
New York
New York
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03/02/2015 AVP, Compliance Risk Assessment & Testing
Nuveen Investment Inc
Chicago
IL
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03/02/2015 Compliance Marketing Review Associate
GCM Grosvenor
Chicago
Illinois
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03/02/2015 Compliance Officer--Registered Investment Company
GCM Grosvenor
Chicago
IL
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02/26/2015 Operations Risk & Control Analyst-Trust LOB
SunTrust Bank
Atlanta
Georgia
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02/26/2015 Policy & Procedure Compliance Officer
SunTrust Bank
Atlanta
Georgia
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02/26/2015 Regulatory Compliance Analyst 1, 2
SunTrust Bank
Atlanta
Georgia
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02/26/2015 Wealth Mgmt-Surveillance Compliance Analyst
SunTrust Bank
Atlanta
Georgia
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02/25/2015 Compliance Officer
BD OPS
Ann Arbor
MI
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02/24/2015 Advisory Compliance Analyst
Cetera Financial Group
El Segundo
CA
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02/24/2015 Compliance Analyst
PlanMember Securities Corp
Carpinteria
CA
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02/24/2015 Director Of Compliance
PlanMember Securities Corp
Carpinteria
CA
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02/23/2015 Compliance Advisor-Branch Examinations
Lincoln Investment
Wyncote & Cincinnati
PA & OH
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02/23/2015 Compliance Specialist
BMO Harris Financial Advisors
Chicago
IL
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02/23/2015 Private Markets Attorney
GCM Grosvenor
Chicago
IL
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02/23/2015 Senior Compliance Investment Officer
Aegon Asset Managment
Baltimore
MD
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02/23/2015 Sr. Advisory Compliance Analyst
Cetera Financial Group
El Segundo
CA
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02/20/2015 Compliance Assistant
Sands Capital Management
Arlington
VA
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02/20/2015 Compliance Manager
Driehaus Capital Management LLC
Chicago
IL
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02/20/2015 Compliance Manager
Huber Capital Management, LLC
El Segundo
CA
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02/20/2015 Fixed Income Compliance AVP
LPL Financial
Charlotte
NC
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02/19/2015 AVP, Program Oversight
LPL Financial
Charlotte
NC
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02/19/2015 Chief Compliance Officer
Transcend Capital, LLC
Austin
TX
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02/19/2015 Vice President - Complex Product Supervision
LPL Financial
Charlotte
NC
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02/17/2015 Associate Director of Network Office Supervision
Northwestern Mutual/Tronco Financial Group
Latham
New York
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02/13/2015 Compliance Investment Officer
Aegon Asset Management
Cedar Rapids
IA
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02/13/2015 Risk Management Quality Control Consultant
SunTrust Banks, Inc.
Atlanta
GA
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02/13/2015 Risk Management Quality Control Consultant
SunTrust Bank
Atlanta
GA
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02/13/2015 Securities Compliance Examiner
U.S. Securities and Exchange Commission
Washington
DC
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02/06/2015 Senior Risk Management Analyst
1st Global
Dallas
TX
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01/20/2015 Regulatory Compliance Consultant
SDDCO Regulatory Services LLC
New York
NY
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