Current Job Postings
Date Posted Position
Company
City
State
03/03/2015 Finop and Senior BD Compliance Consultant
Regulatory Compliance, LLC
New York
New York
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03/02/2015 AVP, Compliance Risk Assessment & Testing
Nuveen Investment Inc
Chicago
IL
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03/02/2015 Compliance Marketing Review Associate
GCM Grosvenor
Chicago
Illinois
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03/02/2015 Compliance Officer--Registered Investment Company
GCM Grosvenor
Chicago
IL
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02/26/2015 Operations Risk & Control Analyst-Trust LOB
SunTrust Bank
Atlanta
Georgia
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02/26/2015 Policy & Procedure Compliance Officer
SunTrust Bank
Atlanta
Georgia
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02/26/2015 Regulatory Compliance Analyst 1, 2
SunTrust Bank
Atlanta
Georgia
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02/26/2015 Wealth Mgmt-Surveillance Compliance Analyst
SunTrust Bank
Atlanta
Georgia
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02/25/2015 Compliance Officer
BD OPS
Ann Arbor
MI
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02/25/2015 Director, Due Diligence
Foreside Financial Group, LLC
Portland
ME
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02/24/2015 Advisory Compliance Analyst
Cetera Financial Group
El Segundo
CA
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02/24/2015 Compliance Analyst
PlanMember Securities Corp
Carpinteria
CA
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02/24/2015 Director Of Compliance
PlanMember Securities Corp
Carpinteria
CA
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02/23/2015 Compliance Advisor-Branch Examinations
Lincoln Investment
Wyncote & Cincinnati
PA & OH
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02/23/2015 Compliance Specialist
BMO Harris Financial Advisors
Chicago
IL
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02/23/2015 Private Markets Attorney
GCM Grosvenor
Chicago
IL
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02/23/2015 Senior Compliance Investment Officer
Aegon Asset Managment
Baltimore
MD
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02/23/2015 Sr. Advisory Compliance Analyst
Cetera Financial Group
El Segundo
CA
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02/20/2015 Compliance Assistant
Sands Capital Management
Arlington
VA
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02/20/2015 Compliance Manager
Driehaus Capital Management LLC
Chicago
IL
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02/20/2015 Compliance Manager
Huber Capital Management, LLC
El Segundo
CA
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02/20/2015 Fixed Income Compliance AVP
LPL Financial
Charlotte
NC
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02/19/2015 AVP, Program Oversight
LPL Financial
Charlotte
NC
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02/19/2015 Chief Compliance Officer
Transcend Capital, LLC
Austin
TX
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02/19/2015 Vice President - Complex Product Supervision
LPL Financial
Charlotte
NC
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02/17/2015 Associate Director of Network Office Supervision
Northwestern Mutual/Tronco Financial Group
Latham
New York
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02/13/2015 Compliance Investment Officer
Aegon Asset Management
Cedar Rapids
IA
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02/13/2015 Risk Management Quality Control Consultant
SunTrust Banks, Inc.
Atlanta
GA
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02/13/2015 Risk Management Quality Control Consultant
SunTrust Bank
Atlanta
GA
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02/13/2015 Securities Compliance Examiner
U.S. Securities and Exchange Commission
Washington
DC
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02/11/2015 Vice President, Chief Compliance Officer
Dividend Capital
Denver
CO
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02/10/2015 Associate Manager- Compliance Monitoring Job
Novo Nordisk
Princeton
New Jersey
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02/10/2015 Chief Compliance Officer
Lido Advisors
Los Angeles
CA
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02/10/2015 Compliance Analyst
MARKETCOUNSEL, LLC
Englewood
New Jersey
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02/09/2015 Associate Corporate Counsel III – Asset Management Group
Raymond James Financial, Inc.
St. Petersburg
FL
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02/09/2015 Broker Dealer Chief Compliance Officer
Beacon Hill Fund Services
Columbus
Ohio
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02/09/2015 Compliance Officer
Kovitz Securities, LLC
Chicago
IL
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02/06/2015 Compliance Analyst
Bessemer Trust
New York
New York
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02/06/2015 Investment Compliance Analyst
Bessemer Trust
New York
New York
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02/06/2015 Senior Risk Management Analyst
1st Global
Dallas
TX
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02/06/2015 Trust Company Compliance Officer
Fidelity Investments
Boston
MA
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02/05/2015 Compliance Officer
Gradient Securities, LLC
Arden Hills
Minnesota
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02/05/2015 Securities and Compliance Examiner
U.S. Securities and Exchange Commission
New York or
Washington, DC
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02/04/2015 Investment Adviser Regulatory Counsel
MARKETCOUNSEL, LLC
Englewood
NJ
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02/03/2015 Vice President, Compliance Manager Global Services – Wealth Management Services
Confidential
Boston
MA
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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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