Current Job Postings
Date Posted Position
Company
City
State
08/25/2014 Vice President, Associate Counsel - Regulatory Affairs
LPL Financial
Boston
MA
View Details  
08/25/2014 Vice President, Associate Counsel - Regulatory Affairs
LPL Financial
San Diego
CA
View Details  
08/22/2014 Analyst, Supervision Support
Foreside
Portland, ME and
Columbus, OH
View Details  
08/20/2014 Assistant Vice President, Team Leader Records Management and eDiscovery
Nuveen Investments
Chicago
IL
View Details  
08/20/2014 Compliance Officer
Summit Pointe
Battle Creek
MI
View Details  
08/19/2014 Compliance Supervisor - Public Communications
Summit Brokerage Services, Inc.
Boca Raton
Florida
View Details  
08/18/2014 Chief Compliance Office--Registered Investment Company
Grosvenor Capital Management
Chicago
IL
View Details  
08/18/2014 Legal Associate--Marketing Review
Grosvenor Capital Management
Chicago
IL
View Details  
08/18/2014 Registered Principal Reviewer
Grosvenor Capital Management
Chicago
IL
View Details  
08/18/2014 Registered Principal Reviewer
Grosvenor Capital Management
Chicago
IL
View Details  
08/18/2014 Regulatory Compliance Associate
Grosvenor Capital Management
Chicago
IL
View Details  
08/16/2014 ETP Specialist
Foreside Fund Services, LLC
Portland
ME
View Details  
08/14/2014 Audit Manager, Compliance
Lincoln Financial Group
Can vary; see job description
Can vary; see job description
View Details  
08/14/2014 Compliance Auditor
Infinex Financial Group
Glen Allen
Virginia
View Details  
08/14/2014 Compliance Manager 5
Wells Fargo & Co.
Charlotte
North Carolina
View Details  
08/13/2014 Compliance Analyst, Records Management & eDiscovery
Nuveen
Chicago
IL
View Details  
08/13/2014 Senior Compliance Associate
Pathstone Family Office
Fort Lee
NJ
View Details  
08/06/2014 Advertising Review Principal
Foreside
Various; Please see Job Descirption
View Details  
08/06/2014 Broker Dealer Operations Analyst
Foreside
Portland, ME or
Berwyn, PA
View Details  
08/06/2014 Chief Compliance Officer
Not Specified
New York
NY
View Details  
08/06/2014 Compliance Specialist
Ronald Blue & Co., LLC
Roswell
GA
View Details  
08/06/2014 Senior Compliance Officer
Cognios Capital, LLC
Leawood
KS
View Details  
08/05/2014 Branch Examiner
LPL Financial
Chicago
IL
View Details  
08/05/2014 Branch Examiner
LPL Financial
Remote
Remote
View Details  
08/05/2014 Senior Manager - Branch Controls
AXA Advisors
Cleveland
OH
View Details  
08/04/2014 Sr. Manager - Branch Controls
AXA Advisors
Franklin
TN
View Details  
07/30/2014 Adviser and Fund Compliance Professional - Consultant
Vista360, LLC
Milwaukee
WI
View Details  
07/29/2014 Compliance Officer, Advertising
Edelman Financial Services, LLC
Fairfax
VA
View Details  
07/29/2014 IA Compliance Officer
The Edelman Financial Group
Fairfax
VA
View Details  
07/29/2014 IA Compliance Officer (SMHCA)
The Edelman Financial Group
Ft. Worth
TX
View Details  
07/29/2014 Senior Compliance Associate
Jensen Investment Management, Inc.
Lake Oswego
OR
View Details  
07/28/2014 Client Reporting/Compliance/Operations/ Associate
EAM Investors, LLC
Cardiff-by-the-Sea
CA
View Details  
07/23/2014 Branch Examiner
National Financial Partners
Austin
TX
View Details  
07/18/2014 Compliance Associate
Yacktman Asset Management LP
Austin
Texas
View Details  
07/17/2014 Enterprise Risk Manager
State of Wisconsin Investment Board
Madison
WI
View Details  
07/14/2014 Director – Annuity Suitability Review
National Life Group
Montpelier
VT
View Details  
07/14/2014 Mutual Fund and ETF Compliance Manager, VP
State Street Corporation
Boston
Massachusetts
View Details  
07/14/2014 Senior Compliance Associate
National Life Group
Montpelier
VT
View Details  
07/14/2014 SSgA Mutual Fund/ETF Governance Compliance Analyst, Officer
State Street Corporation
Boston
Massachusetts
View Details