Current Job Postings
Date Posted Position
Company
City
State
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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09/09/2014 Broker Dealer Consultant
Regulatory Compliance
Londonderry
NH
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09/09/2014 Chief Compliance Officer - Affiliated Broker Dealers
Highland Capital Management
Dallas
Texas
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09/09/2014 Manager of Financial Services
Regulatory Compliance
Londonderry
NH
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09/08/2014 Accounting and Regulatory Policy Professional
Morgan Stanley
New York
NY
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09/08/2014 Compliance Advisor
USAA Investment Management Co
San Antonio
Tx
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09/08/2014 Equity Sales and Trading Compliance Officer
Morgan Stanley
New York
NY
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09/08/2014 Executive Director - Bank Regulatory
Morgan Stanley
New York
NY
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09/08/2014 Legal Entity Controller - Vice President
Morgan Stanley
New York
NY
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09/08/2014 Securitized Products Model Control Vice President
Morgan Stanley
New York
NY
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09/04/2014 Examination Compliance Officer
First Republic Investment Management, Inc.
San Francisco
CA
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09/04/2014 Mutual Fund Compliance Supervisor
Voya Investment Management
Scottsdale
Arizona
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09/03/2014 Analyst, Distribution Services
Foreside Financial Group
Berwyn
PA
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09/03/2014 Chief Compliance Officer and Legal Support
GFG Capital, LLC
Miami
FL
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09/03/2014 Investment Adviser Consultant
ACA Compliance Group
New York
NY
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09/02/2014 District Compliance Coordinator
Colonial Pipeline Company
Austell
GA
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09/02/2014 Staff Counsel and Chief Compliance Officer (Institutional RIA)
ValMark Securities
Akron
Ohio
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08/31/2014 Manager – Corporate Compliance, Code of Ethics
Ares Management LLC (“Ares”)
Los Angeles
CA
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08/29/2014 VICE PRESIDENT, COMPLIANCE
Guggenheim Partners, LLC
Chicago
IL
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08/28/2014 Agency Supervisory Officer
HF Finanancial, a general agency of Mass Mutual
Charlotte
NC
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08/28/2014 Compliance Officer
Hanson McClain Advisors
Sacramento
CA
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08/27/2014 Compliance Assistant
Harbor Capital Advisors, Inc.
Chicago
IL
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08/25/2014 Vice President, Associate Counsel - Regulatory Affairs
LPL Financial
Boston
MA
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08/25/2014 Vice President, Associate Counsel - Regulatory Affairs
LPL Financial
San Diego
CA
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08/22/2014 Analyst, Supervision Support
Foreside
Portland, ME and
Columbus, OH
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08/20/2014 Assistant Vice President, Team Leader Records Management and eDiscovery
Nuveen Investments
Chicago
IL
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08/20/2014 Compliance Officer
Summit Pointe
Battle Creek
MI
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08/19/2014 Compliance Supervisor - Public Communications
Summit Brokerage Services, Inc.
Boca Raton
Florida
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08/18/2014 Chief Compliance Office--Registered Investment Company
Grosvenor Capital Management
Chicago
IL
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08/18/2014 Legal Associate--Marketing Review
Grosvenor Capital Management
Chicago
IL
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08/18/2014 Registered Principal Reviewer
Grosvenor Capital Management
Chicago
IL
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08/18/2014 Registered Principal Reviewer
Grosvenor Capital Management
Chicago
IL
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08/18/2014 Regulatory Compliance Associate
Grosvenor Capital Management
Chicago
IL
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08/16/2014 ETP Specialist
Foreside Fund Services, LLC
Portland
ME
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08/14/2014 Audit Manager, Compliance
Lincoln Financial Group
Can vary; see job description
Can vary; see job description
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08/14/2014 Compliance Auditor
Infinex Financial Group
Glen Allen
Virginia
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08/14/2014 Compliance Manager 5
Wells Fargo & Co.
Charlotte
North Carolina
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08/13/2014 Compliance Analyst, Records Management & eDiscovery
Nuveen
Chicago
IL
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08/13/2014 Senior Compliance Associate
Pathstone Family Office
Fort Lee
NJ
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08/06/2014 Advertising Review Principal
Foreside
Various; Please see Job Descirption
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08/06/2014 Broker Dealer Operations Analyst
Foreside
Portland, ME or
Berwyn, PA
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08/06/2014 Chief Compliance Officer
Not Specified
New York
NY
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08/06/2014 Compliance Specialist
Ronald Blue & Co., LLC
Roswell
GA
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08/06/2014 Senior Compliance Officer
Cognios Capital, LLC
Leawood
KS
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08/05/2014 Branch Examiner
LPL Financial
Chicago
IL
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08/05/2014 Branch Examiner
LPL Financial
Remote
Remote
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08/05/2014 Senior Manager - Branch Controls
AXA Advisors
Cleveland
OH
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