Current Job Postings
Date Posted Position
Company
City
State
01/30/2015 Compliance Auditor
Ricoh Electronics, Inc.
Tustin
CA
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01/30/2015 Vice President, Compliance Manager Global Services – Global Operations
Confidential
Boston
MA
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01/29/2015 Senior Advertising Review Analyst
Beacon Hill Fund Services, Inc.
Columbus
OH
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01/28/2015 Chief Compliance Officer - Annuities
Prudential Annuities
Shelton
CT
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01/28/2015 Compliance Manager
General Board of Pension and Health Benefits
Glenview
IL
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01/27/2015 Compliance Officer, Mutual Funds
Brandes Investment Partners, L.P.
San Diego
California
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01/23/2015 Chief Compliance Officer
Miller/Howard Investments
Woodstock
NY
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01/23/2015 The Compliance Analyst
Primerica
Duluth
GA
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01/22/2015 Director of Network Office Supervision (DNOS)
Northwestern Mutual
Charleston
West Virginia
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01/22/2015 Senior Manager – Business Compliance
Matthews Asia
San Francisco
CA
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01/22/2015 Senior Manager – Investment Management Compliance
Matthews International Capital Management, LLC
San Francisco
CA
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01/21/2015 Compliance (Surveillance Administrator)
Primerica
Duluth
GA
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01/20/2015 Compliance Analyst 1 or 2 - Private Wealth Management (W403389)
SunTrust Bank
Atlanta
GA
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01/20/2015 Regulatory Compliance Consultant
SDDCO Regulatory Services LLC
New York
NY
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01/16/2015 Chief Compliance Officer-Affiliated Retail Advisers
Highland Capital Management
Dallas
TX
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01/15/2015 Chief Compliance Officer
Foreside Financial Group
Portland, Maine or
Berwyn, Pennsylvania
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01/15/2015 Compliance Associate (Wealth Management)
Crow Holdings Capital Partners
Dallas
TX
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01/15/2015 EVP & Chief Compliance Officer
IDB Bank
New York
NY
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01/13/2015 Compliance Consultant
1st Global Capital Corp
Dallas
Texas
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01/09/2015 Chief Compliance Officer
Marshfield Associates
WASHINGTON
DC
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01/09/2015 Compliance Specialist
ESL Investment Services, LLC
Rochester
NY
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01/08/2015 Chief or Deputy Chief Compliance Officer
Mercer Advisors Inc.
Santa Barbara
CA
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01/08/2015 Compliance Officer--Registered Investment Company
GCM Grosvenor
Chicago
Illinois
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01/06/2015 Compliance Analyst
PlanMember Securities Corp
Carpinteria
California
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01/02/2015 Compliance & Operations Associate
Lombardia Capital Partners, LLC
Pasadena
CA
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01/02/2015 Senior Compliance Specialist
Pioneer Investments
Boston
MA
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12/31/2014 Compliance Associate
GCM Grosvenor
New York
NY
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12/31/2014 Legal Associate--Marketing Review
GCM Grosvenor
Chicago
IL
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12/31/2014 Registered Investment Company CCO
GCM Grosvenor
Chicago
Illinois
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12/31/2014 Registered Principal Reviewer
GCM Grosvenor
Chicago
IL
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12/29/2014 Compliance Advisor - Literature Review
Lincoln Investment
Wyncote
PA
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12/29/2014 Compliance Officer
Williams Financial Group
Dallas
TX
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12/29/2014 Principal-Suitability Review
PlanMember Securities Corp
Carpinteria
California
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12/26/2014 Investment Adviser Compliance Consultant
Regulatory Compliance, LLC
New York
New York
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12/22/2014 Counsel
Foreside
Portland
Maine
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12/19/2014 Chief Compliance Officer or Compliance Officer
Sowell Management Services
Little Rock
Arkansas
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12/18/2014 Compliance Auditor
Infinex Financial Group
Meriden
CT
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12/18/2014 Compliance Manager
Driehaus Capital Management LLC
Chicago
IL
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