Current Job Postings
Date Posted Position
Company
City
State
11/21/2014 SEC INVESTMENT ADVISER CONSULTANT - New York and Boston
FrontLine Compliance
Rockville
MD
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11/17/2014 Compliance Consultant
1st Global Capital Corp
Dallas
Texas
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11/04/2014 Assistant CCO and Fund Administration Manager
Seafarer Capital Partners, LLC
Larkspur
CA
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11/04/2014 Manager of Compliance
General Board of Pension and Health Benefits
Glenview
IL
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11/04/2014 Managing Director, Risk Management
General Board of Pension and Health Benefits
Glenview
IL
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10/30/2014 Advertising Review Analyst
Transamerica
St. Petersburg
FL
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10/30/2014 Compliance Officer
Broker Dealer Operations
Ann Arbor
MI
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10/30/2014 Compliance Surveillance Officer
BOSC, Inc.
Tulsa
OK
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10/30/2014 Regulatory Compliance Officer
EVB
Richmond
VA
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10/29/2014 Compliance Officer/ Field Supervisory Specialist ("FSS")
Signature Financial Partners, LLC
Tysons Corner
VA
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10/27/2014 Compliance Director - Asset Management Compliance
Fidelity Investments
Merrimack
NH
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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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