Current Job Postings
Date Posted Position
Company
City
State
04/24/2014 Senior Counsel (Regulatory/Trading and Markets – Equity and Fixed Income).
FINRA
Washington
DC
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04/24/2014 Supervising Principal
Lincoln Investment
Wyncote
PA
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04/23/2014 Compliance Associate
GCM Grosvenor
New York
NY
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04/23/2014 Compliance Officer
Brookstone Capital Management
Wheaton
IL
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04/23/2014 IA Compliance Officer
SMHCA
Fort Worth
TX
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04/16/2014 Chief Compliance Officer for a BD
Nikko Asset Management Americas, Inc.
New York City
New York
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04/15/2014 Manager, Advertising Compliance
Transamerica Life Insurance Company
Denver
Colorado
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04/09/2014 Accounting Specialist
Foreside
Portland
ME
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04/09/2014 Compliance Analyst
Foreside
Columbus, OH; Portland, ME
Berwyn, PA
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04/09/2014 Compliance Analyst, Advertising Review
Foreside Financial Group
Portland ME, Gahanna OH
or Remote
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04/09/2014 Regulatory Compliance Associate
GCM Grosvenor
Chicago
IL
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04/09/2014 Sales and Advertising Compliance Analyst
Eaton Vance
Boston
MA
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04/04/2014 Senior Compliance Associate - Corporate Compliance
FXCM, Inc.
New York City
NY
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04/04/2014 Senior Compliance Associate – Monitoring & Examinations
FXCM, Inc.
New York City
NY
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04/03/2014 Compliance Consultant to Investment Advisers
Advisor Solutions Group, Inc.
Newport Beach
CA
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04/03/2014 Corporate Compliance
Ares Management, LLC
Los Angeles
CA
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04/03/2014 Senior Compliance Associate – Platform Supervision
FXCM, Inc.
New York City
NY
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04/02/2014 Vice President, Compliance Officer – Real Estate
Ares Management, LLC
New York
NY
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04/01/2014 Compliance Examiner
Scottrade
Saint Louis
Missouri
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04/01/2014 Director, Business Compliance
The Hartford Financial Services Group, Inc.
Hartford
CT
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04/01/2014 Scottrade Advisor Services Risk Manager
Scottrade
Saint Louis
Missouri
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03/31/2014 Compliance Associate
Parametric
Minneapolis
MN
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03/31/2014 Registration Associate
SDDCO Regulatory Services LLC of The SDDCO Group
New York
NY
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03/31/2014 Senior Regulatory Analyst
LPL Financial
Boston
MA
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03/31/2014 Senior Regulatory Analyst
LPL Financial
San Diego
CA
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03/28/2014 Compliance Consultant
Northern Trust Investments, Inc.
Chicago
IL
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03/27/2014 Compliance Officer
MassMutual Financial Group
Boise
ID
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03/27/2014 Compliance Officer
Cape Securities, Inc.
McDonough
Georgia
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03/26/2014 Broker-Dealer Compliance Advisor
USAA
San Antonio
Texas
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03/25/2014 Director of Compliance
University Medical Center
Lubbock
Texas
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03/24/2014 Compliance Trading Analyst
First Allied Securities
San Diego
CA
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03/24/2014 Investment Advisory Compliance Analyst
First Allied Advisory Services
San Diego
CA
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03/20/2014 Chief Compliance Officer
Weeden & Co.
Greenwich
CT
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03/20/2014 Senior Compliance Officer
SSARIS ADVISORS, LLC
Wilton
Connecticut
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03/19/2014 Project Management Coordinator
NSCP
DE/PA
or Remote
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03/17/2014 Chief Compliance Officer
Hallmark Capital Management, Inc.
Wayne
NJ
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03/12/2014 Compliance Manager
Market Share, Inc.
Carmel
Indiana
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03/12/2014 Compliance Supervisor
Sands Capital Management
Arlington
VA
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03/11/2014 BD Chief Compliance Officer
Hartford Funds
Radnor
PA
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03/11/2014 Intermediate/Senior State Filing Analyst
Transamerica
Baltimore
Maryland
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