Current Job Postings
Date Posted Position
Company
City
State
05/20/2015 Compliance Manager
Lighthouse Investment Partners, LLC
Palm Beach Gardens
Florida
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05/20/2015 Counsel
Cetera Financial Group
El Segundo
CA
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05/20/2015 Securities Compliance Examiner
U.S. Securities and Exchange Commission
San Francisco
CA
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05/19/2015 Sr. Compliance Analyst
AIG
Phoenix
AZ
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05/18/2015 Compliance Manager
Albourne America LLC
San Francisco
California
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05/15/2015 Chief Compliance Officer
Prudential Retirement
Hartford
CT
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05/15/2015 Compliance Associate
AJO
Philadelphia
PA
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05/15/2015 Sales
Ascendant Compliance Management
Lakeville
CT
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05/14/2015 Licensing & Registration Manager
BMO Harris Financial Advisors
Chicago
IL
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05/14/2015 Senior Compliance Officer
BMO Harris Financial Advisors
Chicago
IL
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05/12/2015 Client Service Associate
Davenport & Company LLC
Richmond
VA
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05/11/2015 SVP, Chief Compliance Officer
City Securities Corporation
Indianapolis
IN
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05/08/2015 Director of University Compliance
St. Ambrose University
Davenport
IA
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05/07/2015 Director of Compliance
Transamerica
Denver
Colorado
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05/06/2015 Compliance Analyst 2
Primerica
Duluth
GA
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05/06/2015 Securities Compliance Examiner
U.S. Securities and Exchange Commission
Chicago
IL
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05/06/2015 Securities Compliance Examiner
U.S. Securities and Exchange Commission
Los Angeles
CA
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05/06/2015 Securities Compliance Examiner
U.S. Securities and Exchange Commission
Philadelphia
PA
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05/06/2015 Sr Compliance Marketing Review Officer
Aegon Asset Managment
Cedar Rapids
IA
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05/05/2015 Vice President
Cordium
San Francisco
CA
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05/05/2015 Vice President, Ethics Policy
Fidelity Investments
Westlake
TX
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05/01/2015 Quantitative Research Analyst/Financial Engineer
U.S. Securities and Exchange Commission
Various
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05/01/2015 Recent Graduate - Securities Compliance Examiner
U.S. Securities and Exchange Commission
Various
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05/01/2015 Securities Compliance Examiner
U.S. Securities and Exchange Commission
Various
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04/30/2015 Compliance Director
Invesco
Dallas
TX
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04/29/2015 Compliance Associate
Aristotle Capital Management, LLC
Los Angeles
CA
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04/29/2015 Supervisory Analyst
Ladenburg Thalmann & Co. Inc.
New York
New York
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04/27/2015 Compliance Consultant - Manager Due Diligence
Northern Trust Investments, Inc.
Stamford
CT
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04/27/2015 Compliance Officer
Davenport & Company LLC
Richmond
VA
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04/27/2015 Senior Compliance Consultant
Regulatory Compliance, LLC
Boston Area
New Hampshire
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04/23/2015 Compliance Consultant
1st Global Capital Corp
Dallas
Texas
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04/23/2015 Director of Compliance
Transamerica
Cedar Rapids
Iowa
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04/22/2015 Compliance Officer
Investment Professionals, Inc.
San Antonio
Texas
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04/22/2015 Lead Investment Compliance Officer
Aegon Asset Managment
Baltimore
MD
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04/21/2015 Bankcard Line of Business Director
Fifth Third Bank
Cincinnati, OH or
Remote
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04/21/2015 Dealer Services Analyst
Foreside Financial Group, LLC
Portland, Maine or
Berwyn, Pennsylvania
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04/21/2015 Director, Broker Dealer Compliance
Foreside Financial Group, LLC
Portland
ME
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04/21/2015 Network Compliance Manager
Fifth Third Bank
Cincinnati, OH or
Remote
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04/17/2015 Agency Supervisory Officer (ASO)
Windsor Financial Group/MassMutual
Horsham
PA
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04/17/2015 Compliance Manager- Advertising Review
Janus Capital Group
Denver
Co
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04/16/2015 Securities Compliance Auditor
Cetera Financial Group

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04/15/2015 Assistant Compliance Officer
Gardner Financial Services, Inc.
Minneapolis
MN
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04/14/2015 Compliance Rep 2 - Mutual Fund Advertising Review-150010283
Quasar Distributors / US Bancorp Fund Services
Milwaukee
WI
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04/14/2015 PWM Operations Risk and Control Manager
SunTrust Bank
Atlanta
Georgia
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