Current Job Postings
Date Posted Position
Company
City
State
10/24/2014 Broker-Dealer Consultant - Boston and New York
FrontLine Compliance
Rockville
MD
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10/24/2014 Compliance Consultant (Jr and Sr levels)
SEC Compliance Consultants Inc
New York
New York
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10/24/2014 SEC Investment Adviser Consultant
FrontLine Compliance
Rockville
MD
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10/23/2014 Broker Dealer Operations Manager
Foreside Fund Services, LLC (“Foreside”)
Portland
ME
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10/23/2014 Director RIA and Brokerage Compliance
Horace Mann
Springfield
IL
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10/22/2014 Chief Compliance Officer
Dividend Assets Capital
Ridgeland
SC
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10/22/2014 Risk Management Quality Control Consultant - Private Wealth Management - W404003
SunTrust Bank
Atlanta or Richmond
GA or VA
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10/21/2014 Director of Broker Dealer Compliance
Bessemer Trust
San Francisco
California
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10/21/2014 Investment Management Compliance Officer
Bessemer Trust
New York
New York
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10/19/2014 Chief Compliance Officer (Investment Adviser)
Daruma Capital Management
New York City
NY
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10/17/2014 Chief Compliance Officer - Affiliated Retail Advisers
Highland Capital Management
Dallas
Texas
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10/17/2014 Due Diligence Analyst
Foreside Financial Group, LLC
Portland
ME
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10/16/2014 Surveillance Analyst
National Financial Partners
Austin
TX
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10/16/2014 Vice President, Branch Exams
LPL Financial
Charlotte
NC
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10/15/2014 Compliance Officer, Testing, Asset Management Compliance
TIAA-CREF
New York, Charlotte
or San Francisco
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10/14/2014 Compliance Officer
INTL FCStone Securities Inc.
Winter Park
FL
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10/14/2014 Director Internal Investigation & Regulatory Response - STIS (W403072)
SunTrust Bank
Atlanta
GA
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10/13/2014 Compliance Advisor – Supervisory Controls Unit
Commonwealth Financial Network
Waltham
MA
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10/13/2014 Financial Campus Account Executive Sales Role
SmartPros
Hawthorne
NY
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10/09/2014 Chief Compliance Officer, CCO
Advisory Services Network, LLC
Atlanta
Georgia
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10/09/2014 Sr. Investment Advisory Consultant
Mainstay Capital Markets Consultants, Inc.
Atlanta
GA
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10/07/2014 Senior Compliance Analyst
Sands Capital Management, LLC
Arlington
VA
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10/06/2014 Compliance Advisor
Principal Financial Group
Des Moines
IA
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10/06/2014 Compliance Director
Highland Capital Management
Dallas
Texas
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10/06/2014 Compliance Supervisor
Summit Brokerage Services, Inc.
Boca Raton
Florida
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10/06/2014 OSJ Manager
Transamerica
Johns Creek
GA
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10/01/2014 Manager, Licensing & Registration
National Financial Partners
Austin
TX
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10/01/2014 OSJ Manager
Transamerica
Baltimore
MD
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10/01/2014 Private Equity Compliance Associate
GCM Grosvenor
Chicago
Illinois
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10/01/2014 Private Equity Compliance Associate
GCM Grosvenor
New York
NY
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10/01/2014 Regulatory Compliance Consultant
SDDCO Regulatory Services LLC
New York
NY
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10/01/2014 Vice President of Mortgage Compliance
Argosight
Boston
MA
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09/30/2014 Central Supervision Analyst
Davenport & Company LLC
Richmond
VA
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09/30/2014 Paralegal
Foreside
Portland
ME
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09/30/2014 Registration Administrator
Foreside
Portland
ME
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09/30/2014 Sr. Compliance Analyst, Advertising Regulatory Review
LPL Financial
Boston
MA
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09/26/2014 Director – Market Conduct and Compliance
National Life Group
Montpelier
VT
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09/24/2014 Chief Compliance Officer for a RIA
Nikko Asset Management Americas, Inc.
New York
New York
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09/24/2014 Director of Network Office Supervision
Northwestern Mutual
Des Moines
IA
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09/24/2014 Operation Analyst
Nikko Asset Management Americas, Inc.
New York
New York
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09/23/2014 Compliance Officer
Vulcan Inc
Seattle
WA
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09/19/2014 Chief Compliance Officer
Wellesley Investment Advisors
Wellesley
MA
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09/19/2014 Compliance Associate
Highland Capital Management
Dallas
Texas
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09/18/2014 Investment Advisor Compliance Associate
Regulatory Compliance
Londonderry
NH
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09/18/2014 Risk and Compliance Associate
Aequitas Capital Management
Lake Oswego
Oregon
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09/18/2014 Senior Compliance Consultant - West Coast, USA
Regulatory Compliance
Londonderry
NH
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09/10/2014 AVP, Retirement Plans Compliance
Nationwide Mutual Insurance Company
Columbus
Ohio
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